Robert N. Kampfer
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.
Robert Neal Kampfer, who also goes by Bob Kampfer, Bobby Kampfer, Robert Neal Kampher, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1984. Robert had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2015 - June 4, 2018
MAXIM GROUP LLC
July 9, 2010 - November 10, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2008 - July 30, 2010
JANNEY MONTGOMERY SCOTT LLC
August 27, 2007 - July 30, 2010
JANNEY MONTGOMERY SCOTT LLC
May 23, 2003 - September 5, 2007
OPPENHEIMER & CO. INC.
August 11, 2000 - May 29, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 9, 1994 - August 18, 2000
JANNEY MONTGOMERY SCOTT LLC
March 23, 1994 - July 27, 1994
IFMG SECURITIES, INC.
January 29, 1991 - March 18, 1994
CAPITAL BROKERAGE CORPORATION
August 3, 1990 - November 14, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
April 24, 1989 - July 13, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 24, 1989 - July 13, 1990
EQUITABLE ADVISORS, LLC
November 18, 1988 - May 31, 1989
INDIVIDUAL'S SECURITIES LTD.
July 17, 1985 - December 3, 1988
GREENTREE SECURITIES CORP.
July 12, 1985 - August 1, 1985
UNIVERSAL SECURITIES OF AMERICA, INC.
June 25, 1985 - July 15, 1985
CREATIVE SECURITIES CORP.
December 11, 1984 - June 28, 1985
FIRST JERSEY 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
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
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.
