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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

JAMES WILLIAM WATKINS

Advisor at LPL FINANCIAL LLC

BENTONVILLE, AR | FAYETTEVILLE, AR | ROGERS, AR

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Search this name across graphsid dfx:ria:fc1d61aa-a110-9a55-cf19-6c6f615b5c6c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 23, 2005 to Sep 15, 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Aug 20, 2005
First registration: Sep 23, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4972335

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
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 20, 2019	n/a	yes	FAYETTEVILLE, AR\|ROGERS, AR\|BENTONVILLE, AR	Current employment
METROPOLITAN CAPITAL MANAGEMENT, INC.	Former SEC adviser	Dec 17, 2014	Sep 2, 2015	no	LITTLE ROCK, AR\|LITTLE ROCK, AR\|LITTLE ROCK, AR	Previous registration
SIMMONS FIRST INVESTMENT GROUP, INC.	Former SEC adviser	Jun 16, 2009	Mar 25, 2019	no	LITTLE ROCK, AR\|LITTLE ROCK, AR\|BELLA VISTA, AR\|FAYETTEVILLE, AR\|Fayetteville, AR\|Bentonville, AR\|Rogers, AR\|Fayetteville, AR	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 16, 2009	no	LITTLE ROCK, AR	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	LITTLE ROCK, AR	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 23, 2005	Apr 2, 2007	no	LITTLE ROCK, AR\|LITTLE ROCK, AR	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
SIMMONS FIRST INVESTMENT GROUP, INC.	METROPOLITAN CAPITAL MANAGEMENT, INC.	Mar 25, 2019	Dec 17, 2014	-1,559	Firm change after gap	Other
METROPOLITAN CAPITAL MANAGEMENT, INC.	LPL FINANCIAL LLC	Sep 2, 2015	Mar 20, 2019	1,295	Firm change after gap	Other
MORGAN STANLEY	SIMMONS FIRST INVESTMENT GROUP, INC.	Jun 16, 2009	Jun 16, 2009	0	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
47439:137713:AR:2019-03-25	Mar 25, 2019	Dec 17, 2014	FAYETTEVILLE, AR	Firm change after gap
137713:6413:AR:2015-09-02	Sep 2, 2015	Mar 20, 2019	LITTLE ROCK, AR	Firm change after gap

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 20, 2019 to presentfactForm ADV
→ SIMMONS FIRST INVESTMENT GROUP, INC.Registered adviserregistration: previous registration
Jun 16, 2009 to Mar 25, 2019factForm ADV
→ METROPOLITAN CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 16, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 23, 2005 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.