Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Watts is a financial advisor with over 30 years of experience in the industry. David is currently registered with UBS Financial Services Inc. in Plano, Texas. Previously, David was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES, INC., SMITH BARNEY INC. and BEAR, STEARNS & CO. INC.. David holds FINRA Series 7, 24, 31, 63 and 65 licenses, and the SIE exam. David specializes in providing financial advice to individuals, corporations, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, and other investment advisors.
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
TX
07/05/2012 - Present
UBS Financial Services Inc. (PLANO TX)
TX
02/17/2006 - 07/06/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLANO TX)
NY
12/21/2000 - 02/22/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
03/02/1998 - 12/12/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
07/26/1996 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
09/02/1994 - 08/01/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
02/05/1993 - 08/31/1994
BEAR, STEARNS & CO. INC. (NEW YORK NY)
TX
12/16/1991 - 03/05/1993
DALLAS RESEARCH & TRADING, INC. (DALLAS TX)
IA
Issued 07/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 12/13/1991
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
Not sure David Watts is the right advisor for you? Invested Better is here to help.
