Charles L. 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.
Charles Louis Watson Jr, who also goes by Charles Louis Watson Jr, Charles Louis Watson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1975. Charles had worked at 5 firms and has passed the SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2016 - March 15, 2017
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 24, 2016 - March 15, 2017
ICAP SECURITIES USA LLC
January 5, 2010 - August 21, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
February 21, 2007 - January 4, 2010
RAFFERTY CAPITAL MARKETS, LLC
August 2, 1996 - January 19, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
July 26, 1977 - August 6, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 7, 1975 - November 8, 1976
KMS CORPORATE BROKERS, INC.
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 1
Date: 2/3/1975
Registered Representative ExaminationCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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