Shawna K. Watson
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.
Shawna Kay Watson, who also goes by Shawna Kay Chaplin, Shawna Chaplin, Shawna Kay Horton, was a registered financial professional .
Shawna is a previously registered financial professional and started their career in finance in 2006. Shawna had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2011 - August 1, 2014
TD AMERITRADE, INC.
July 26, 2011 - August 1, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 27, 2009 - August 1, 2014
TD AMERITRADE, INC.
August 1, 2006 - May 15, 2009
FIDELITY BROKERAGE SERVICES LLC
April 24, 2006 - June 27, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
