Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Douglas Watt is an investment advisor representative with Oppenheimer & Co. Inc. in Atlanta, Georgia. James has been in the industry since 1978 and has held previous positions with CIBC World Markets Corp., Oppenheimer & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is registered with the following securities regulators: Georgia, Texas, Alabama, California, Colorado, Connecticut, District of Columbia, Florida, Hawaii, Idaho, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Utah, Virginia, Washington. James is also registered as an investment advisor in Georgia and Texas.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
GA
10/05/2016 - Present
Oppenheimer & Co. Inc. (ATLANTA GA)
NY
01/24/1979 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
04/03/1988 - 04/18/1995
OPPENHEIMER & CO., INC.
NA
09/26/1978 - 02/09/1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
03/01/1978 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 05/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
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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