Richard E. 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.
Richard Ernest Watson, who also goes by Rick Watson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2015 - December 31, 2017
FINTRUST BROKERAGE SERVICES, LLC
March 1, 2012 - January 11, 2014
STERNE, AGEE & LEACH, INC.
March 18, 1980 - February 27, 2012
MORGAN KEEGAN & COMPANY, LLC
March 3, 1977 - April 10, 1980
UMIC, 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 40
Date: 2/23/1977
Registered Principal ExaminationCurrent Firm
FINTRUST BROKERAGE SERVICES, LLC
CRD#: 41608 / SEC#: , 8-49514
Contact information
Documents
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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