David Bruce Watts
Professional Summary
David Bruce Watts, who also goes by David B Watts, is a registered financial advisor currently at WATTS GWILLIAM & COMPANY, LLC located in Gilbert, Arizona. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 2 firms and has passed the Series 66, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David B Watts
Similar Advisors
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RBC CAPITAL MARKETS, LLC
Current Firm
OPTIC ASSET MANAGEMENT | WATTS GWILLIAM & COMPANY, LLC | WATTS GWILLIAM
Contact Information
Main Address
2730 S. Val Vista Dr. Suite 124, Gilbert, AZ 85295Phone Number
(480) 889-8998# of Employees
9SEC notice filing (22 States and Territories)
Registered to provide investment advisory services in 22 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,208AUM (Assets Under Management)
$1,031,900,000Similar Advisors
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
OPTIC ASSET MANAGEMENT | WATTS GWILLIAM & COMPANY, LLC | WATTS GWILLIAM
State Registrations and Notice Filings
(6/17/2004)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view David Bruce Watts's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC