William S. Watson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Shawn Watson, who also goes by Bill Watson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2014 - April 8, 2021
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 21, 2014 - April 8, 2021
NYLIFE DISTRIBUTORS LLC
September 8, 2014 - October 30, 2014
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
January 13, 2014 - October 30, 2014
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
May 15, 2013 - January 3, 2014
COREBRIDGE CAPITAL SERVICES, INC.
December 3, 2012 - March 15, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
February 5, 2003 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 21, 2002 - February 10, 2003
BNY MELLON SECURITIES CORPORATION
March 17, 2000 - February 10, 2003
BNY MELLON SECURITIES CORPORATION
July 31, 1998 - February 11, 2000
FEDERATED SECURITIES CORP.
December 20, 1996 - July 16, 1998
GLOBAL ATLANTIC DISTRIBUTORS, LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
