Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid George Watts is a financial professional with over 25 years of experience in the securities industry. David has a broad range of experience working with a variety of firms including Deutsche Bank Securities Inc., UBS Securities LLC, Barclays Capital Inc., Wells Fargo Securities, LLC, and most recently BofA Securities, Inc.. David is currently registered with Pershing LLC and holds a Series 7, 9, 10, 24, 27, 57TO, 99TO, and SIE license. David also has a Series 63 license.
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.
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.
1
2
NJ
09/06/2024 - Present
Pershing LLC (JERSEY CITY NJ)
NY
10/13/2021 - 03/22/2023
BOFA SECURITIES, INC. (NEW YORK NY)
NY
04/26/2013 - 06/29/2021
WELLS FARGO SECURITIES, LLC (New York NY)
NY
05/11/2015 - 11/19/2018
WELLS FARGO PRIME SERVICES, LLC (NEW YORK NY)
NY
11/30/2010 - 09/13/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/09/2004 - 10/29/2010
UBS SECURITIES LLC (NEW YORK NY)
NY
04/22/1998 - 09/21/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NA
03/02/1998 - 03/24/1998
DEUTSCHE MORGAN GRENFELL INC.
NY
10/16/1997 - 03/02/1998
NATWEST SECURITIES CORPORATION (NEW YORK NY)
NJ
12/13/1994 - 09/23/1997
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 02/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/22/2015
Series 27 - Financial and Operations Principal Examination
BC
Issued 12/30/1996
Series 24 - General Securities Principal Examination
BC
Issued 03/13/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Watts is the right advisor for you? Invested Better is here to help.
