Charles A. Campbell
Professional summary
Charles Arbuthnot Campbell III is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Arbuthnot Campbell III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 677 Washington Blvd. Suite 510, Stamford, CT 06901October 24, 2022 - January 31, 2023
MKM PARTNERS LLC
March 22, 2022 - October 14, 2022
LPS CAPITAL LLC
May 7, 2012 - March 23, 2022
MKM PARTNERS LLC
July 7, 2000 - May 9, 2012
MILLER TABAK + CO., LLC
August 27, 1999 - July 7, 2000
MILLER TABAK HIRSCH & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/31/2023)
(1/31/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
ROTH CAPITAL PARTNERS, LLC
CRD#: 15407 / SEC#: , 8-32129
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CR FINANCIAL HOLDINGS, INC. | MEMBER | |
| AKDENIZ, NAZAN | COO | 2522215 |
| GUREWITZ, AARON MICHAEL | CO-CHIEF EXECUTIVE OFFICER | 2244273 |
| LAMARCHE, KRISTIN DIANE | CHIEF COMPLIANCE OFFICER | 2582393 |
| MORK, JONATHAN ANDREW | MANAGER | 4349125 |
| PANAGIOTIDIS, ALEX | ROSFP | 4582559 |
| PLATT, RICHARD L | GENERAL COUNSEL | 2059118 |
| ROTH, BYRON CLARENCE | CHAIRMAN/MANAGER | 1768553 |
| ROTH, GORDON JAMES | CHIEF FINANCIAL OFFICER/FINOP/MANAGER | 3167226 |
| ROTH, THEODORE DAVID | VICE CHAIRMAN | 4615931 |
| SHETH, SAGAR ARVIND | CO-CHIEF EXECUTIVE OFFICER | 5209865 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
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.
