Richard Campos
Professional summary
Richard Campos is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 12 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Campos's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017January 24, 2023 - December 9, 2024
COWEN AND COMPANY
January 19, 2022 - January 19, 2023
CREDIT SUISSE SECURITIES (USA) LLC
January 4, 2018 - December 2, 2021
CITIGROUP GLOBAL MARKETS INC.
February 14, 2017 - September 8, 2017
BARCLAYS CAPITAL INC.
October 11, 2004 - December 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2002 - September 3, 2004
PRUDENTIAL EQUITY GROUP, LLC
March 6, 2002 - October 11, 2002
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 14, 1999 - March 5, 2002
HARRISDIRECT LLC
March 29, 1996 - October 7, 1999
PERSHING LLC
October 13, 1993 - March 29, 1996
UJB DISCOUNT BROKERAGE CO.
April 1, 1993 - April 12, 1993
AMERIPRISE ADVISOR SERVICES, INC.
May 15, 1992 - March 9, 1993
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
(12/9/2024)
(12/9/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/14/2000
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 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.
