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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

James Walker Watson

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:c26883cc-27f4-3300-1bcc-47f49ebe2dc0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Dec 18, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 30, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 30, 2002
First registration: Dec 18, 2003
Dual registered: yes, broker-dealer
Other names: JAMES WALKER WATSON|JAMES W WATSON|JAMES WALKER WATSON|James Walker Watson
IAPD individual key: 4487613

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 16, 2023	n/a	yes	LOS ANGELES, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Dec 13, 2019	Apr 12, 2023	no	SHERMAN OAKS, CA\|SHERMAN OAKS, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 12, 2016	Apr 20, 2018	no	LOS ANGELES, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Feb 9, 2016	no	LOS ANGELES, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 1, 2012	Oct 1, 2012	no	LOS ANGELES, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Aug 11, 2011	no	INGLEWOOD, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 6, 2009	Jan 3, 2011	no	LOS ANGELES, CA\|INGLEWOOD, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Sep 29, 2006	Nov 8, 2007	no	LOS ANGELES, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Dec 18, 2003	Sep 5, 2006	no	GARDENA, CA\|LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 12, 2023	May 16, 2023	34	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	Apr 20, 2018	Dec 13, 2019	602	Firm change after gap	Wirehouse to wirehouse
J.P. MORGAN SECURITIES LLC	UBS FINANCIAL SERVICES INC.	Feb 9, 2016	Apr 12, 2016	63	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WELLS FARGO ADVISORS	CHASE INVESTMENT SERVICES CORP.	Aug 11, 2011	Jun 1, 2012	295	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO INVESTMENTS, LLC	Nov 8, 2007	Apr 6, 2009	515	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Sep 5, 2006	Sep 29, 2006	24	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:7691:CA:2023-04-01	Apr 12, 2023	May 16, 2023	SHERMAN OAKS, CA	Firm change

Relationships

Registered with (7)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 16, 2023 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Dec 13, 2019 to Apr 12, 2023factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 12, 2016 to Apr 20, 2018factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 1, 2012 to Oct 1, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Aug 11, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 6, 2009 to Jan 3, 2011factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Sep 29, 2006 to Nov 8, 2007factForm ADV

Dated events

Occurred
Apr 12, 2023
Advisor changed firm
James Walker Watson left J.P. Morgan Securities Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-05-16)
Form ADVobserved 4 days ago