David Watson has been an investment adviser representative at Oak Asset Management since May 2017, and is not listed among the firm’s executive officers or direct owners.
Oak Asset Management, LLC is a Westlake Village, CA firm with $414M under management, 251 clients and 4 advisers across 3 offices, as of its February 2026 filing.
David Watson’s longest registration was 10 years at UBS Financial Services Inc. (1997–2007). Before joining Oak Asset Management in 2017, David Watson was registered through Wells Fargo Advisors Financial Network, LLC and UBS Financial Services Inc.
- Oak Asset Management, LLCCurrent– present · 9 yearsFlagstaff, AZ · Adviser representative · Firm CRD 287856
- Wells Fargo Advisors Financial Network, LLC– · 9 yearsWestlake Village, CA · Adviser representative · Firm CRD 11025
- UBS Financial Services Inc.– · 10 yearsSanta Barbara, CA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
David Watson is registered as an investment adviser representative in 3 states. The first approvals date from May 2017; the most recent is Arizona, in April 2020.
- ArizonaSince 21 April 2020
- CaliforniaSince 8 May 2017
- TexasSince 8 May 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 9 February 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 April 1994 |
| Series 3 | National Commodity Futures Examination | 29 January 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 December 1985 |
| Series 7 | General Securities Representative Examination | 16 November 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Brian Watson
- CRD
- 1433381
- Firm
- Oak Asset Management · CRD 287856
- Office
- 123 So. San Francisco St., #15, Flagstaff, AZ 86001
- Registration
- Investment adviser registration
- In the industry since
- November 1985
- Disciplinary history
- Not yet shown here · SEC record
Where does David Watson work?
David Watson is an investment adviser representative registered through Oak Asset Management, LLC since May 2017, and is not listed among the firm’s executive officers or direct owners.
Is David Watson a financial advisor?
Yes. David Watson has a current investment-adviser registration in Arizona, California and Texas, through Oak Asset Management since May 2017.
How many years of experience does David Watson have?
David Watson has 40 years in the financial industry, since November 1985, across 3 adviser firms.
What exams has David Watson passed?
David Watson has passed 5 licensing exams: the Series 7, Series 63, Series 3, Series 65 and Series 8. The earliest, the Series 7, was passed in November 1985. FINRA credited David Watson with the SIE, which began in October 2018.
Where did David Watson work before Oak Asset Management?
Before Oak Asset Management, David Watson was registered through UBS Financial Services Inc., July 1997 to December 2007.
Where is David Watson based?
David Watson’s registered office is in Flagstaff, AZ.
Is David Watson registered with FINRA?
No. David Watson has no current broker registration.
How can I verify David Watson’s record?
Search CRD 1433381 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Watson’s full registration record.