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JAMES KEYES WATTS JR
JAMES KEYES WATTS
CRD#: 1641368
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 770 TAMALPAIS DR STE 400
CORTE MADERA, CA 94925
Registration History
199019952000200520102015202020252 FIRMS1987 - 1996 (9 years)2 FIRMS2001 - 2011 (9 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2020 (9 years)2 FIRMS2020 - Present (4 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1997 - 2001 (3 years)BSTEPHENS INC. (CRD# 3496)1996 - 1997 (1 year)
Disclosure(s)
View By:
4/4/1997
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 6/6/2024

B
Missouri 3/16/2023

B
Alaska 12/8/2020

B
Montana 10/23/2023

B
Arizona 12/4/2020

B
Nevada 2/4/2022

B
Arkansas 12/4/2020

B
New Hampshire 1/25/2022

B
California 12/4/2020

B
New Jersey 5/16/2023

IA
California 12/4/2020

B
New Mexico 12/4/2020

B
Colorado 12/4/2020

B
New York 12/4/2020

B
Connecticut 12/4/2020

B
North Carolina 1/24/2022

B
Florida 12/4/2020

B
Ohio 12/4/2020

B
Georgia 12/11/2020

B
Oregon 1/28/2021

B
Hawaii 5/6/2024

B
Rhode Island 7/6/2021

B
Idaho 12/4/2020

B
South Carolina 10/7/2021

B
Illinois 10/26/2022

B
South Dakota 2/4/2022

B
Iowa 12/4/2020

B
Tennessee 5/14/2024

B
Kentucky 5/8/2024

B
Texas 12/4/2020

B
Louisiana 5/8/2024

IA
Texas 12/4/2020

B
Maine 12/8/2020

B
Utah 12/4/2020

B
Maryland 5/6/2024

B
Washington 12/4/2020

B
Massachusetts 4/28/2021

B
Wisconsin 1/20/2022

B
Michigan 1/24/2022

B
Wyoming 5/9/2024

B
Minnesota 1/26/2021

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
Registered with this firm since 12/4/2020

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
Registered with this firm since 12/4/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/11/2011 - 12/08/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
09/21/2011 - 12/08/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
IA
01/03/2011 - 09/23/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) CORTE MADERA, CA
B
01/03/2011 - 09/23/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) CORTE MADERA, CA
IA
05/15/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CORTE MADERA, CA
B
05/02/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CORTE MADERA, CA
B
10/13/1997 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
06/24/1996 - 10/09/1997 STEPHENS INC. (CRD#:3496) LITTLE ROCK, AR
B
04/08/1987 - 07/23/1996 EQ FINANCIAL CONSULTANTS, INC. (CRD#:6627) NEW YORK, NY
B
04/08/1987 - 07/23/1996 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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Broker
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.