William C. Watkins
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 Curtis Watkins Jr., who also goes by William Curtis Watkins Jr, William Curtis Watkins, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 8 firms and has passed the Series 66, SIE, Series 31 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
November 30, 2018 - March 15, 2021
FIRST CITIZENS INVESTOR SERVICES, INC.
November 30, 2018 - March 15, 2021
FIRST CITIZENS INVESTOR SERVICES, INC.
July 21, 2014 - December 4, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2014 - December 4, 2018
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2012 - July 3, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 3, 2012 - July 3, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 30, 2008 - May 2, 2012
EDWARD JONES
April 25, 2008 - May 2, 2012
EDWARD JONES
June 7, 2006 - April 28, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
May 5, 2006 - April 28, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
June 27, 2005 - November 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2004 - March 15, 2004
WOODBURY FINANCIAL SERVICES, INC.
November 18, 2002 - January 26, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 20, 2000 - November 1, 2002
MORGAN STANLEY DW INC.
November 17, 2000 - November 1, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 |
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.
