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Robert Harris Watts

CRD# 854121·Registered 1978 - 2016
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Harris Watts, who also goes by Robert H Watts, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1978 - 2016. Robert had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert H Watts

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

48 years in the financial services industry

Current & Past Employments

ESSEX NATIONAL SECURITIES, LLC·CRD# 25454
BD
Napa, CA
December 7, 2006 - April 1, 2016
SIGNATOR INVESTORS, INC.·CRD# 468
BD
Boston, MA
May 13, 2004 - June 2, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC·CRD# 28262
BD
Boston, MA
May 22, 1991 - March 15, 2004
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY·CRD# 5181
BD
Boston, MA
July 3, 1978 - May 1, 1997
SIGNATOR INVESTORS, INC.·CRD# 468
BD
Boston, MA
July 3, 1978 - March 15, 2004

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Current Firm

EN
ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750
BD
Terminated by SEC on 09/13/2016

Contact Information

Established

Delaware since 06/27/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ESSEX NATIONAL HOLDING COMPANY, LLCOWNER—
AMARANTE, STEPHEN PAULCHAIRMAN OF BOARD OF DIRECTORS3165067
COONEY, JOHN MICHAELCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP1326757
CUMMINGS, WILLIAM FRANCISDIRECTOR4761165
DAVIS, SCOTT KELSOPRESIDENT, CEO, DIRECTOR1252573

Disclosures

Regulatory Event

5

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1987About the Series 7 exam

Series 1 — Registered Representative Examination

Passed Jun 1978

Series 24 — General Securities Principal Examination

Passed Oct 1986About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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