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Ralph S. Watson

CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
Some features on this profile are disabled
CRD#: 5535974
RW

Professional summary

Ralph S Watson II, who also goes by Bud Watson, Ralph S Watson, Ralph Sherman Watson II, Ralph Watson Ii, Rs Watson, Ralph S Watson Ii, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Ralph has worked at 9 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bud Watson | Ralph S Watson | Ralph Sherman Watson Ii | Ralph Watson Ii | Rs Watson | Ralph S Watson Ii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) WOODFORD FINANCIAL PLLC POSITION: Member NATURE: Woodford Financial understands the breadth of knowledge and level of attention required to manage the financial issues your business will experience. As a trusted Versailles, KY CPA firm, we provide a wide range of customized, accurate accounting services. From day-to-day bookkeeping to making informed decisions about hiring more employees or investing in a big purchase, we're ready to partner with you to help ensure your success. In addition, we can assist you with strategic tax planning to limit tax liabilities while garnering the highest profits possible for your business. Avantaxinvestment services will be offered in conjunction with other professional services by Woodford Financial PLLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 01/27/2020 ADDRESS: 100 United Drive, Suite 3B, Versailles, KY 40383, United States DESCRIPTION: I am one of two managing partners/owners of the firm and am responsible for (1) day-to-day management of the firm, (2) tax planning for clients, (3) tax preparation for clients, (4) financial planning for clients, and (5) client relationship management. I will also be marketing Avantax business under this entity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph S Watson II's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
RIA
CRD#: 105644
SCHAUMBURG, IL
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
El Segundo, CA
Past

November 22, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

September 4, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Versailles, KY
Past

October 29, 2018 - September 16, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Lexington, KY
Past

October 26, 2018 - September 16, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LEXINGTON, KY
Past

January 2, 2018 - September 6, 2018

BB&T SECURITIES, LLC

RIA
CRD#: 142785
LEXINGTON, KY
Past

January 2, 2018 - September 6, 2018

BB&T SECURITIES, LLC

BD
CRD#: 142785
LEXINGTON, KY
Past

February 26, 2010 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
LEXINGTON, KY
Past

February 26, 2010 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
LEXINGTON, KY
Past

December 10, 2008 - December 18, 2009

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
MIDWAY, KY
Past

November 10, 2008 - December 18, 2009

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
MIDWAY, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Kentucky
(9/5/2025)
IAR
Kentucky
(9/5/2025)
RR
Ohio
(10/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/26/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/9/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/10/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Schaumburg, IL 60173-2096

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