Douglas W. Campbell

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CRD#: 2462754

Professional summary

Douglas Walter Campbell JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Douglas Walter Campbell JR was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 10, 2007 - November 29, 2012

WEDBUSH SECURITIES INC.

CRD#: 877

NEW CANAAN, CT

Past

February 7, 2007 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

WATERMILL, NY

Past

September 24, 2004 - January 18, 2007

GREAT EASTERN SECURITIES, INC.

CRD#: 2061

SYOSSET, NY

Past

September 19, 2002 - September 3, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 20, 1999 - October 18, 2002

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

September 21, 1998 - September 22, 1999

HD BROUS & CO., INC.

CRD#: 22062

GREAT NECK, NY

Past

March 28, 1994 - August 27, 1998

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEDBUSH SECURITIES INC.

WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW

CRD#: 877 / SEC#: 801-6358, 8-12987

RIA

Registered Investment Advisory firm - SEC (2/27/1970 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/25/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/4/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 3/16/1999

General Securities Principal Examination

Current Firm

WEDBUSH SECURITIES INC.

WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW

CRD#: 877 / SEC#: 801-6358, 8-12987

RIA

Registered Investment Advisory firm - SEC (2/27/1970 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101

Mailing Address

225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101

Phone number

(213) 688-8000

Established

California since 07/08/1966

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

897

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WEDBUSH SECURITIES INC. FORM ADV PART 2A (10/13/2025)

WEDBUSH SECURITIES INC. FORM ADV PART 2A APPENDIX OF FORM 1 ADV WRAP FEE (10/13/2025)

Direct owners and executive officers

Name	Position	CRD#
WEDBUSH FINANCIAL SERVICES, LLC	OWNER
BILLINGS, DANIEL ERIC	EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR	4568232
BLAND, GEOFFREY CONOR	DIRECTOR	7358773
DEMPSEY, FRANCIS BURKE	EXECUTIVE VICE PRESIDENT	2428325
DRUCH, ANDREW WALTER	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR	1688071
FITZSIMMONS, ROBERT GERARD	EXECUTIVE VICE PRESIDENT	1878661
FRAUNCES, KIRSTEN CAMPBELL	EXECUTIVE VICE PRESIDENT	2933930
HULTGREN, DONALD WAYNE	EXECUTIVE CHAIR, DIRECTOR	1475369
MONE, CHRISTOPHER MICHAEL	EXECUTIVE VICE PRESIDENT	2401952
PARRODE, RODRIGO NMN	EVP, CHIEF OPERATING OFFICER	4905345
PASET, ROBERT EDWARD	EXECUTIVE VICE PRESIDENT	1055902
PRESTON, ERIN KATHLEEN	CHIEF COMPLIANCE OFFICER	5314250
WEDBUSH, GARY LANCE	PRESIDENT, DIRECTOR	2234455

Regulatory assets under management

Total Number of Accounts	10,048
AUM (Assets Under Management)	$ 5,684,848,455

Disclosures

Regulatory Event	147
Civil Event	3
Arbitration	60
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
04/26/2024	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

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Firm Stability Insights

Douglas W. Campbell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKSTREET SECURITIES CORPORATION

GREAT EASTERN SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

JOSEPH GUNNAR & CO. LLC

HD BROUS & CO., INC.

FIRST ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1999

Series 63

Date: 4/15/1994

Series 7

Date: 3/25/1994

Series 8

Date: 5/4/1999

Series 24

Date: 3/16/1999

Current Firm

WEDBUSH SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WEDBUSH SECURITIES INC.

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