Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Jon Watson is a financial advisor currently registered with UBS Financial Services Inc. Alan has been in the financial services industry since 2002 and has extensive experience in various financial products and services. Alan holds licenses in multiple states and has passed several industry exams, including Series 3, 7, 9, 10, 63, and 65. Alan has previously worked for MORGAN STANLEY SMITH BARNEY, WELLS FARGO ADVISORS, LLC, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., and KIRKPATRICK, PETTIS, SMITH, POLIAN INC. Alan specializes in providing financial planning, portfolio management, and other advisory services for a wide range of clients, including individuals, high-net-worth individuals, corporations, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
ID
10/06/2023 - Present
UBS Financial Services Inc. (Middleton ID)
CO
10/13/2011 - 02/19/2016
MORGAN STANLEY (DENVER CO)
CA
06/15/2011 - 09/08/2011
WELLS FARGO ADVISORS, LLC (NEWPORT BEACH CA)
CO
06/01/2009 - 06/28/2011
MORGAN STANLEY SMITH BARNEY (ENGLEWOOD CO)
CA
07/20/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ORANGE CA)
NY
07/17/2002 - 07/12/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NE
11/06/2001 - 05/09/2002
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
IA
Issued 11/21/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/04/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/08/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/2009
Series 3 - National Commodity Futures Examination
BC
Issued 11/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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