Home  >  BrightScope Advisor Pages  >  Cory James Watson

Information

Firm:
Additional Firm:
Type: RIA, FINRA Status Unknown
Description

Cory Watson is a financial professional at LPL Financial LLC, a broker-dealer with over 17,700 registered representatives nationwide. Cory is also registered with Cambridge Investment Research Advisors, Inc., a $20B RIA based in Fairfield, IA. Cory has held an industry securities registration for less than a year and is subject to SEC oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Cory James Watson has not answered any questions on Financial Q&A.

Top Guides

Cory James Watson has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Cambridge Investment Research Advisors, Inc. 3 weeks, 2 days Apr 2014 - Present
Cambridge Investment Research, Inc. 3 weeks, 2 days Apr 2014 - Present
LPL Financial LLC 11 years, 4 months Dec 2002 - Apr 2014
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/29/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

1 Customer Dispute

As of Date
05/29/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 03/10/2003
Uniform Combined State Law Examination Series 66 07/23/1998
General Securities Representative Examination Series 7 10/02/1997

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SOLICITATION FEES FROM 3RD PARTY MONEY MANAGERS