Watson H. Wright
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.
Watson Howell Wright was a registered financial professional .
Watson is a previously registered financial professional and started their career in finance in 1978. Watson had worked at 5 firms and has passed the Series 63, Series 65, Series 15, Series 3, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 1992 - December 14, 2007
NORTHEAST SECURITIES, LLC
February 17, 1989 - January 30, 1993
DOMINICK & DICKERMAN LLC
October 3, 1988 - January 30, 1993
DOMINICK & DICKERMAN LLC
December 22, 1987 - April 30, 2012
DORSEY, WRIGHT & ASSOCIATES, LLC
January 9, 1987 - October 3, 1988
DOMIK CORP.
March 27, 1978 - January 12, 1987
FIRST UNION CAPITAL MARKETS CORP.
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 15
Date: 3/14/1984
Foreign Currency Options ExaminationSeries 5
Date: 3/16/1982
Interest Rate Options ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
