Kevin N. Campbell
Professional summary
Kevin Neil Campbell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Kevin had worked at 7 firms, which includes JOSEPH CHARLES & ASSOC. INC., D.E. FREY & COMPANY INC., FLEMMING ANDERSON COHEN & LEE INC., R.K. STEELE, TAMARON INVESTMENTS INC., BRENNAN ROSS SECURITIES INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 1996 - November 1, 1996
JOSEPH CHARLES & ASSOC., INC.
January 12, 1995 - March 5, 1996
D.E. FREY & COMPANY, INC.
August 25, 1994 - January 26, 1995
FLEMMING, ANDERSON, COHEN & LEE, INC.
April 7, 1993 - August 5, 1994
R.K. STEELE
November 2, 1990 - March 23, 1993
TAMARON INVESTMENTS, INC.
November 20, 1989 - November 7, 1990
BRENNAN ROSS SECURITIES, INC.
May 24, 1989 - November 27, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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