Watson W. Powell
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.
Watson Whiteside Powell IV, who also goes by Kurt Powell, Watson Whiteside Powell IV, Watson Kurt Powell, was a registered financial professional .
Watson is a previously registered financial professional and started their career in finance in 2000. Watson had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 79, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2019 - January 29, 2026
BOFA SECURITIES, INC.
October 18, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2017 - October 1, 2018
FIRST TRYON SECURITIES, LLC
August 2, 2012 - October 9, 2017
WELLS FARGO SECURITIES, LLC
March 27, 2009 - July 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 2000 - April 6, 2009
BANC OF AMERICA SECURITIES LLC
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
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
Series 7TO
Date: 12/18/2018
General Securities Representative ExaminationCurrent Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 71 |
Red Flags
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