Gary M. Watts
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.
Gary Michael Watts, who also goes by Gary Watts, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1977. Gary had worked at 7 firms and has passed the Series 63, SIE, Series 55, PC 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
August 31, 2009 - July 7, 2020
STONEX FINANCIAL INC.
April 25, 2007 - July 2, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 4, 2001 - August 27, 2007
RYAN BECK & CO.
April 3, 1998 - October 11, 2001
JOSEPHTHAL & CO., INC.
January 27, 1998 - February 26, 1998
STUART, COLEMAN & CO., INC.
September 16, 1977 - January 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 1, 1977 - September 16, 1977
BACHE HALSEY STUART 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 55
Date: 6/29/2007
Limited Representative-Equity Trader ExamPC
Date: 6/13/1977
AMEX Put and Call ExamCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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