Alan Watson is the Market Supervisory Officer for the Los Angeles/Orange County Market. This is the same role he previously held with Los Angeles Market and Orange County Market upon his arrival with the Firm in February, 2016. Prior to his current tenure with the Firm, Alan joined the Firm from Morgan Stanley in Denver, CO. At Morgan Stanley, Alan was the Complex Risk Officer, and was primarily responsible for ensuring and supervising compliance with all applicable laws and regulations, assisting Financial Advisors in meeting their risk and compliance needs, and monitoring and managing the overall risk functions for the branch location/complex he was a part of.
Alan studied at Bellevue University, where he earned a Bachelor of Science in Business Management, and prior to his education, Alan spent four years serving in the U.S. Navy aboard the U.S.S. Hopper out of Pearl Harbor, HI.
Alan has over twenty years of experience in the financial services industry; He began his career as a New Accounts Specialist with Kirkpatrick, Pettis, in Omaha, NE. He was promoted to the position of Senior Operations Technician, where he was responsible for both trade and options balancing. Alan then joined the Morgan Stanley Dean Witter team as a Registered Sales Assistant before moving to Citi Smith Barney. While at Citi Smith Barney, he acquired the role of Operations Manager for the Orange, CA branch location, until it's closure in late 2009. In early 2010, he was promoted to Complex Risk Officer in for Morgan Stanley Smith Barney in Denver, CO.
When Alan is not working he enjoys spending time with his 5 year old son, taking on the occasional hike, playing a round of (bad) golf, catching a good movie, and watching college football.
Registered States:
CA, CO, CT, FL, HI, ID, MT, ND, NM, SD, UT, WY