James D. Campbell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Douglas Campbell II, who also goes by James Douglas Campbell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - October 8, 2024
THE LEADERS GROUP, INC.
January 4, 2007 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - December 31, 2006
VOYA FINANCIAL ADVISORS, INC.
May 21, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
February 6, 2003 - March 21, 2003
THE LEADERS GROUP, INC.
February 15, 2002 - February 7, 2003
EQUITABLE DISTRIBUTORS, LLC
December 19, 1996 - March 15, 2002
WALNUT STREET SECURITIES, INC.
August 10, 1993 - June 27, 1996
GUARDIAN INVESTOR SERVICES LLC
April 3, 1990 - August 10, 1993
WALNUT STREET SECURITIES, INC.
September 14, 1981 - December 5, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
