Irving Watchman
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.
Irving Watchman was a registered financial professional .
Irving is a previously registered financial professional and started their career in finance in 1966. Irving had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2001 - April 9, 2012
CANTONE RESEARCH INC.
January 28, 1995 - December 6, 2000
UBS FINANCIAL SERVICES INC.
November 9, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 15, 1989 - November 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
July 9, 1973 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
February 4, 1966 - June 5, 1974
HALLE & STIELITZ FILOR BULLARD INC
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 10/20/1961
Registered Representative ExaminationCurrent Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
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.
