Anthony J. 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.
Anthony James Watson, who also goes by Aj Watson, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2009. Anthony had worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2015 - May 12, 2015
FOCUS STRATEGIES MERCHANT BANKING, LLC
January 14, 2013 - May 12, 2015
WESTLAKE SECURITIES
July 16, 2010 - November 11, 2011
GREAT POINT CAPITAL LLC
July 10, 2009 - July 26, 2010
FIS BROKERAGE & SECURITIES 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: 3/11/2010
Limited Representative-Equity Trader ExamCurrent Firm
FOCUS STRATEGIES MERCHANT BANKING, LLC
CRD#: 172021 / SEC#: , 8-69495
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
