Thomas A. Watts
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.
Thomas Ashby Watts, who also goes by Thomas Ashby Watts, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2011 - November 28, 2012
WATERMARK ADVISORS, LLC
August 24, 2007 - March 31, 2011
SECURITIES NETWORK LLC
August 23, 2006 - March 31, 2011
SECURITIES NETWORK LLC
August 16, 2005 - April 27, 2006
ALLEN C. EWING & CO.
June 29, 2004 - December 7, 2004
WATERMARK ADVISORS, LLC
June 15, 2002 - July 9, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 1, 1999 - June 15, 2002
WACHOVIA SECURITIES, INC.
December 24, 1998 - April 1, 1999
WACHOVIA CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WATERMARK ADVISORS, LLC
CRD#: 127819 / SEC#: , 8-66048
Contact information
Documents
Red Flags
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