Kenneth R. 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.
Kenneth Richard Campbell III, who also goes by Kenneth Richard III Campbell, was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1992. Kenneth had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 24, Series 4, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2006 - January 10, 2011
ANDERSON & STRUDWICK, INCORPORATED
August 1, 2006 - January 10, 2011
ANDERSON & STRUDWICK, INCORPORATED
December 17, 2003 - July 31, 2006
BI INVESTMENTS, LLC
December 17, 2003 - July 31, 2006
BI INVESTMENTS, LLC
April 30, 2002 - December 16, 2003
RBC CAPITAL MARKETS, LLC
March 9, 2002 - December 16, 2003
RBC CAPITAL MARKETS, LLC
March 28, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
September 18, 2000 - March 28, 2001
BRANCH, CABELL & CO., INC.
October 1, 1999 - October 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
September 28, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 7, 1999 - September 28, 1999
FIRST CLEARING, LLC
September 13, 1996 - January 15, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 3, 1992 - September 3, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 4/28/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ANDERSON & STRUDWICK, INCORPORATED
CRD#: 48 / SEC#: , 8-18206
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 2 |
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.
