James Watson, financial advisor Los Angeles CA
81 score

James Watson

CRD Number: 4555494
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Watson (CRD# 4555494) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, CA and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles, CA Dec 2014 - Current 2
Bank Of America, N.a. Los Angeles, CA Dec 2014 - Current 2
Self Employed (d.b.a. James Watson Consulting) Los Angeles, CA Jan 2014 - Nov 2014 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills, CA Jun 2012 - Dec 2013 1
Bank Of America, N.a. Beverly Hills, CA Jun 2012 - Dec 2013 1
Self Employed (d.b.a. James Watson Consulting) Los Angeles, CA Feb 2008 - Jun 2012 4
2000 Charge Pasadena, CA Jun 2011 - Sep 2011 < 1
U.s. Department Of Commerce, Census Bureau San Diego, CA Apr 2009 - Apr 2009 < 1
Hidden Water Pools San Diego, CA Feb 2007 - Feb 2008 1
Unemployed San Diego, CA Sep 2006 - Jan 2007 < 1
The Martim Group, Inc. San Diego, CA Apr 2004 - Aug 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2002
S66 NASAA Uniform Combined State Law Examination Dec 2012
Disclosure Information

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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James T. Watson
Phone Number: 800-637-7455
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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
Types of Clients
Registered States

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

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BADGES
81

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