Conor B. Watkins
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.
Conor Bauman Watkins was a registered financial professional .
Conor is a previously registered financial professional and started their career in finance in 2015. Conor had worked at 5 firms and has passed the Series 63, SIE, Series 79 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
May 10, 2021 - August 13, 2021
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
April 6, 2021 - April 29, 2021
EC SECURITIES LLC
January 19, 2017 - February 2, 2021
BLACKSTONE SECURITIES PARTNERS L.P.
February 3, 2016 - January 12, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 28, 2015 - November 18, 2015
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
CRD#: 154559 / SEC#: , 8-68648
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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