Ray A. Watson

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CRD#: 460143

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.

Ray Alan Watson was a registered financial professional .

Ray is a previously registered financial professional and started their career in finance in 1981. Ray had worked at 7 firms and has passed the SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

March 27, 1987 - December 31, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

January 16, 1986 - April 7, 1987

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

May 1, 1984 - June 27, 1986

FIRST SECURITIES CORPORATION OF COLUMBUS

CRD#: 7923

Past

September 16, 1981 - June 5, 1982

SINGER & COMPANY SECURITIES, INC.

CRD#: 6889

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VAWTER FINANCIAL LTD

CRD#: 108830 / SEC#: 801-112975

RIA

Registered Investment Advisory firm - (4/24/2018 Approved)

Ohio

Registered Investment Advisory firm - (6/14/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 12/16/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/28/1970

Registered Representative Examination

Current Firm

VAWTER FINANCIAL LTD

CRD#: 108830 / SEC#: 801-112975

RIA

Registered Investment Advisory firm - (4/24/2018 Approved)

Ohio

Registered Investment Advisory firm - (6/14/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2018 Terminated)

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Contact information

Main Address

1161 Bethel Road Suite 304, Columbus, OH 43220

Mailing Address

Phone number

(614) 451-1002

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,011
AUM (Assets Under Management)	$ 313,564,983

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.

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Advisor Monitoring

Firm Stability Insights

Ray A. Watson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VAWTER FINANCIAL LTD

VAWTER FINANCIAL LTD

CAMBRIDGE INVESTMENT RESEARCH, INC.

WALNUT STREET SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

PRESCOTT, BALL & TURBEN, INC.

FIRST SECURITIES CORPORATION OF COLUMBUS

SINGER & COMPANY SECURITIES, INC.

Primary Firm SEC Registration

VAWTER FINANCIAL LTD

State Registrations and Notice Filings

Exams

SIE

Date: 12/16/2014

Series 1

Date: 11/28/1970

Current Firm

VAWTER FINANCIAL LTD

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VAWTER FINANCIAL LTD

TRUST BUT VERIFY

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