James Keyes Watts

CRD 1641368 · Wells Fargo Advisors · Corte Madera, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 26Series 65Series 63
Registered states (43): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Washington · Wisconsin · Wyoming
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1641368 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (10)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Corte Madera, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Corte Madera, CA · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mill Valley, CA · IA capacity

Oct 11, 2011 → Dec 8, 2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mill Valley, CA · BC capacity

Sep 21, 2011 → Dec 8, 2020
Wells Fargo Investments, LLC
Corte Madera, CA · IA capacity

May 15, 2001 → Jan 3, 2011
Wells Fargo Investments, LLC
Corte Madera, CA · BC capacity

May 2, 2001 → Jan 3, 2011
Wells Fargo Securities Inc.
San Francisco, CA · BC capacity

Oct 13, 1997 → May 2, 2001
Stephens Inc.
Little Rock, AR · BC capacity

Jun 24, 1996 → Oct 9, 1997
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Apr 8, 1987 → Jul 23, 1996
Eq Financial Consultants, Inc.
New York, NY · BC capacity

Apr 8, 1987 → Jul 23, 1996

Source & corrections

Where this page comes from

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