Richard M. 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.
Richard Michael Campbell was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1968. Richard had worked at 7 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - March 28, 2009
KRIEGER - CAMPBELL, INCORPORATED
July 23, 1980 - March 31, 2009
KRIEGER - CAMPBELL, INCORPORATED
June 18, 1976 - August 4, 1980
CAPITAL CONCEPTS INVESTMENT CORP.
May 27, 1976 - June 18, 1976
ROBERT E GEE CAPITAL RESOURCES INC
February 1, 1974 - June 15, 1976
C. A. MANAGEMENT CORPORATION
February 1, 1974 - July 1, 1976
CINCINNATI ANALYSTS, INC.
January 1, 1974 - February 1, 1974
FML FUNDS DISTRIBUTION COMPANY
January 26, 1970 - February 1, 1974
CAPITAL ANALYSTS INCORPORATED
September 11, 1968 - January 15, 1972
FML FUNDS DISTRIBUTION COMPANY
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 1
Date: 9/5/1968
Registered Representative ExaminationSeries 00
Date: 2/25/1971
General Securities Principal ExaminationCurrent Firm
KRIEGER - CAMPBELL, INCORPORATED
CRD#: 8256 / SEC#: , 8-24823
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRIEGER, ROYAL GENE | PRESIDENT | 275568 |
| RICHARD AND JOSEPHINE CAMPBELL REVOCABLE TRUST DATED MARCH 11, 2005 | TRUST | |
| CAMPBELL, RICHARD MICHAEL | TRUSTEE/VICE PRESIDENT/CCO |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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