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Cory James Watson

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Information

Firm:
Additional Firm:
Type: Dual Registration
Description

Cory Watson is a financial professional at Cambridge Investment Research, Inc., a broker-dealer with over 3,250 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 16 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Cambridge Investment Research Advisors, Inc. 5 months Apr 2014 - Present
Cambridge Investment Research, Inc. 5 months Apr 2014 - Present
LPL Financial LLC 11 years, 4 months Dec 2002 - Apr 2014
Exams
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 03/10/2003
Uniform Combined State Law ExaminationSeries 66 07/23/1998
General Securities Representative ExaminationSeries 7 10/02/1997

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
05/29/2013
04/20/2014
*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.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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