Clarence Watkins
CRD Number: 1386112Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Clarence Watkins (CRD# 1386112) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Charlotte, NC and has over 31 years of experience in the finance industry.
CRD# 3089483
Prospera Financial Services, Inc.
Score
94
CRD# 2500734
Dalton Financial LLC
Score
103
CRD# 2082331
M Holdings Securities, Inc.
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte, NC | Mar 2008 - Current | 10 |
| Joseph A. Bank | Charlotte, NC | Nov 2007 - Mar 2008 | < 1 |
| Bb&t Investments | Charlotte, NC | Jul 2006 - Mar 2008 | 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1986 |
| S65 | NASAA Investment Advisors Law Examination | Jan 2001 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Judgments / Liens
- NC
- TX
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Total Assets Under Management639,574MILLIONS
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Total Number of Accounts1,831,494ACCOUNTS
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Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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