Brett 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.
Brett Kingsland Campbell, who also goes by Brett Campbell, Brett Kingsland Campbell, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1999. Brett had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2023 - May 19, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 22, 2023 - May 19, 2023
FIDELITY BROKERAGE SERVICES LLC
May 25, 2021 - December 20, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 24, 2021 - December 20, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 7, 2021 - April 15, 2021
LPL FINANCIAL LLC
January 4, 2021 - April 15, 2021
LPL FINANCIAL LLC
October 25, 2019 - December 31, 2020
AVANTAX ADVISORY SERVICES
October 25, 2019 - December 31, 2020
AVANTAX INVESTMENT SERVICES, INC.
May 23, 2019 - October 25, 2019
1ST GLOBAL ADVISORS INC
May 23, 2019 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
August 9, 2017 - November 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2017 - November 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2017 - July 19, 2017
1ST GLOBAL ADVISORS INC
March 30, 2017 - July 19, 2017
1ST GLOBAL CAPITAL CORP.
February 12, 2016 - December 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2016 - December 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2015 - January 11, 2016
UBS FINANCIAL SERVICES INC.
November 28, 2012 - September 30, 2015
EDWARD JONES
September 15, 2009 - January 5, 2011
EDWARD JONES
March 26, 2008 - April 23, 2008
J.C. REED ADVISORY GROUP, LLC
March 2, 2007 - December 31, 2007
J.C. REED ADVISORY GROUP, LLC
August 26, 2003 - December 2, 2005
CARLIN EQUITIES, LLC
February 29, 2000 - August 19, 2003
CARLIN EQUITIES, LLC
January 6, 2000 - February 7, 2000
UBS FINANCIAL SERVICES INC.
August 14, 1999 - February 28, 2000
MORGAN STANLEY DW 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
