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DW

Daniel Watson

NORTH CAPITAL PRIVATE SECURITIES
Salt Lake City, UT 84047
Some features on this profile are disabled
CRD#: 7729924
DW

Professional summary

Daniel Watson, who also goes by Dan Kent Watson, Dan Watson, Daniel Kent Watson, is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah and NORTH CAPITAL AGENCY BROKERAGE, LLC located in Salt Lake City, Utah.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2023. Daniel has worked at 2 firms and has passed the SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Kent Watson | Dan Watson | Daniel Kent Watson

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Watson's 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

May 31, 2023 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
BD
CRD#: 154559
Salt Lake City, UT
Current

May 4, 2026 - Present

NORTH CAPITAL AGENCY BROKERAGE, LLC

Office #1: 623 E Fort Union Blvd., Suite 101, Salt Lake City, UT 84047
BD
CRD#: 306775
SALT LAKE CITY, UT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 3/31/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/31/2023
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTH CAPITAL AGENCY BROKERAGE, LLC
NORTH CAPITAL AGENCY BROKERAGE, LLC | TIMPANOGOS SECURITIES LLC

CRD#: 306775 / SEC#: , 8-71176

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
623 E Fort Union Blvd., Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Fort Union Blvd., Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 10/11/2023
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KINGS PEAK SECURITIES LLCOWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFIN OP4240769
DOWD, JAMES PATRICKCEO, PRESIDENT2109413

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

NORTH CAPITAL AGENCY BROKERAGE, LLC

CRD#: 306775Salt Lake City, UT 84047

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