William 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.
William Joseph Watts was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 4 firms and has passed the Series 63, Series 55, Series 1, Series 24 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
May 5, 2004 - April 29, 2005
BRIMBERG & CO.
September 26, 2000 - June 17, 2002
ITG EXECUTION SERVICES, INC.
November 10, 1987 - September 13, 2000
H.C.WAINWRIGHT & CO., LLC
January 8, 1981 - August 21, 1987
JSC SECURITIES, 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
Series 55
Date: 1/24/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 12/2/1969
Registered Representative ExaminationSeries 8
Date: 5/28/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRIMBERG & CO.
CRD#: 1315 / SEC#: , 8-5281
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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