Clifford J. Watts
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.
Clifford John Watts III, who also goes by Clifford John Watts, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1974. Clifford had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2015 - July 2, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 12, 2015 - July 2, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 2, 2009 - June 15, 2015
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
July 2, 2009 - June 15, 2015
CAPITAL INVESTMENT GROUP, INC.
January 1, 2008 - July 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 23, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 13, 1980 - October 24, 1995
EDWARD JONES
March 14, 1974 - September 11, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
March 14, 1974 - September 11, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
March 14, 1974 - September 11, 1980
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 1
Date: 3/11/1974
Registered Representative ExaminationSeries 8
Date: 5/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
