Roger G. 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.
Roger Gordon Campbell was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1984. Roger had worked at 7 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 1998 - November 30, 1998
JOSEPH CHARLES & ASSOC., INC.
July 31, 1993 - May 13, 1996
CITIGROUP GLOBAL MARKETS INC.
January 11, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
March 30, 1992 - January 26, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 25, 1990 - April 1, 1992
GLOBAL CAPITAL SECURITIES CORPORATION
March 15, 1984 - October 17, 1990
R.B. MARICH, INC.
January 26, 1984 - March 12, 1984
FIRST FINANCIAL SECURITIES, 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
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
