James F. 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.
James Frederick Campbell, who also goes by James Fredrick Campbell, Jim Campbell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 10 firms and has passed the Series 65, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - December 31, 2022
CADARET, GRANT & CO., INC.
April 6, 2005 - December 31, 2016
PRINCIPAL SECURITIES, INC.
September 25, 2000 - December 12, 2024
HANCOCK CAPITAL MANAGEMENT, INC.
June 30, 1997 - December 31, 2004
PRINCIPAL SECURITIES, INC.
March 13, 1992 - December 31, 1996
WORLD INVEST CORPORATION
February 9, 1989 - July 5, 1990
GLOBAL INVESTOR SECURITIES, INC.
July 12, 1988 - August 3, 1988
AMERICAN INVESTORS GROUP, INC.
December 4, 1986 - July 18, 1988
INVESTMENT BROKERS OF AMERICA
July 28, 1986 - December 15, 1986
CONSECO FINANCIAL SERVICES, INC.
February 20, 1985 - August 8, 1986
OSAIC FS, INC.
March 1, 1984 - April 19, 1985
PFS INVESTMENTS INC.
March 24, 1971 - January 10, 1983
PRINCIPAL SECURITIES, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/15/1971
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
