Michael K. 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.
Michael Keith Campbell, who also goes by M Keith Campbell, M. Keith Campbell, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 16 firms and has passed the Series 63, SIE 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
June 17, 2015 - September 21, 2015
MSI FINANCIAL SERVICES, INC.
June 24, 2013 - April 2, 2014
CAPITAL BROKERAGE CORPORATION
January 24, 2012 - June 12, 2012
SECURITIES AMERICA, INC.
May 9, 2005 - July 8, 2008
INDEPENDENT FINANCIAL GROUP, LLC
April 2, 2004 - June 1, 2005
CENTAURUS FINANCIAL, INC.
April 4, 2002 - April 10, 2002
AMERIPRISE ADVISOR SERVICES, INC.
December 8, 2000 - December 5, 2001
LPL FINANCIAL LLC
October 6, 1998 - March 8, 2000
PROTRADER SECURITIES L.P.
May 6, 1998 - September 17, 1998
LANDMARK SECURITIES CORPORATION
January 5, 1998 - February 3, 1998
TREND TRADER, LLC
September 2, 1997 - January 22, 1998
TERRA NOVA FINANCIAL, LLC
February 11, 1997 - April 30, 1997
BLOCK TRADING INC.
August 20, 1996 - September 5, 1996
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 8, 1996 - May 31, 1996
TD AMERITRADE, INC.
July 22, 1994 - March 20, 1996
MORGAN STANLEY DW INC.
March 28, 1994 - June 17, 1994
COLUMBUS FINANCIAL, 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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 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.
