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CFA · ChFC
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CFA · ChFC

William Watson

Oppenheimer & CO. INC.
20 Years of Experience
Greensboro, NC
BrokerSells Insurance
View SEC Summary
View SEC Summary

William Watson is a CFA, ChFC-designated registered investment advisor at Oppenheimer & CO. INC., based in Greensboro, NC, with 20 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

800 Green Valley Road, Suite 300, Greensboro, NC, 27408

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

William is the trustee of an unfunded life insurance trust and spends minimal time on it. He is also the agent/manager of an LLC owned by his sister that owns and leases a private residence, and a member of finance and investment committees for a school, spending minimal time on each.

Employment History
Current Registrations
Oppenheimer & CO. INC.
March 2009 - Present · 17 yrs 7 mos
Oppenheimer & CO. INC.Broker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Stanford Group Company
August 2007 - March 2009 · 1 yr 7 mos
Stanford Group CompanyBroker
July 2007 - March 2009 · 1 yr 8 mos
Ust Securities CORP.Broker
September 2006 - July 2007 · 10 mos
State Registrations16 states
CACOCTDCDEFLGAMANCNJNYOHSCVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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