AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RW

Randy L. Watts

Some features on this profile are disabled
CRD#: 4366847
RW

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.

Randy Lee Watts, who also goes by Randy L Watts, was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 2001. Randy had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randy L Watts

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 28, 2020 - January 13, 2022

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
chicago, IL
Past

April 27, 2020 - October 29, 2020

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
PHILADELPHIA, PA
Past

January 24, 2018 - December 31, 2018

UIT INVESTING, INC.

RIA
CRD#: 289560
BARRINGTON, IL
Past

May 4, 2016 - May 16, 2017

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

August 9, 2011 - May 4, 2016

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL
Past

November 2, 2010 - August 2, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
ALBUQUERQUE, NM
Past

November 16, 2009 - October 11, 2010

MATRIX CAPITAL GROUP, INC.

BD
CRD#: 33364
NEW YORK, NY
Past

April 5, 2005 - July 17, 2008

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
OAKBROOK TERRACE, IL
Past

December 1, 2003 - January 21, 2004

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

February 15, 2002 - October 6, 2003

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

April 24, 2001 - January 4, 2002

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/3/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/13/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 3/15/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/14/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/23/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/10/2003
General Securities Principal Examination

Current Firm

NC
NASDAQ CAPITAL MARKETS ADVISORY LLC
ISLAND EXECUTION SERVICES, LLC | OUTBOUND SECURITIES, LLC | NASDAQ OPTIONS SERVICES, LLC | NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295 / SEC#: , 8-52750

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 401-8700
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ CORPORATE SOLUTIONS, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
WASSERMAN, SEAN ELLIOTCO CHIEF EXECUTIVE OFFICER7303324

Disclosures

Regulatory Event4

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.

Company Information

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295

TRUST BUT VERIFY

Monitor Randy Watts

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.