Brian 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.
Brian J Watts was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2005. Brian had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2012 - August 9, 2018
FORESTERS FINANCIAL SERVICES, INC.
June 1, 2009 - May 2, 2012
MORGAN STANLEY
February 24, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 13, 2005 - February 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 2005 - February 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
FORESTERS FINANCIAL SERVICES, INC.
CRD#: 305 / SEC#: , 8-13891
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 3 |
| Arbitration | 18 |
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.
