Richard G. Camp
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.
Richard Gregory Camp, who also goes by Richard G Camp, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1967. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2007 - November 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 2007 - November 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1995 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
April 26, 1982 - May 14, 1988
E. F. HUTTON & COMPANY INC
February 24, 1978 - July 6, 1982
MORGAN STANLEY DW INC.
August 1, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 3, 1967 - August 26, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 5
Date: 11/16/1981
Interest Rate Options ExaminationSeries 000
Date: 9/29/1967
General Securities Principal ExaminationSeries 1
Date: 9/29/1967
Registered Representative ExaminationSeries 40
Date: 6/16/1976
Registered Principal ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
