Adam S. 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.
Adam Stallworth Watson was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2007. Adam had worked at 4 firms and has passed the Series 66, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - April 24, 2013
WTS PROPRIETARY TRADING GROUP LLC
June 8, 2009 - March 8, 2011
HARRISDIRECT LLC
February 5, 2008 - March 8, 2011
E*TRADE SECURITIES LLC
September 21, 2007 - January 3, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 27, 2007 - January 3, 2008
AMERIPRISE FINANCIAL SERVICES, 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
Series 55
Date: 7/13/2009
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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