Brian Campbell
Professional summary
Brian Campbell was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Brian had worked at 8 firms, which includes MADISON AVENUE SECURITIES LLC, ASSET & FINANCIAL PLANNING LTD, PRIME CAPITAL SERVICES INC., SIGNATOR INVESTORS INC., NATIONAL PLANNING CORPORATION, TOWER SQUARE SECURITIES INC., WORLD INVESTMENTS LLC, WALL STREET ACCESS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2009 - July 13, 2010
MADISON AVENUE SECURITIES, LLC
April 20, 2009 - July 13, 2010
MADISON AVENUE SECURITIES, LLC
June 16, 2003 - April 14, 2009
ASSET & FINANCIAL PLANNING, LTD
September 6, 2001 - April 14, 2009
PRIME CAPITAL SERVICES, INC.
July 5, 2001 - August 9, 2001
SIGNATOR INVESTORS, INC.
July 27, 2000 - May 31, 2001
NATIONAL PLANNING CORPORATION
September 29, 1997 - August 22, 2000
TOWER SQUARE SECURITIES, INC.
February 4, 1996 - October 10, 1997
WORLD INVESTMENTS, LLC
February 19, 1993 - January 11, 1996
WALL STREET ACCESS
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MANAGER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| 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.
