Ronnie T. 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.
Ronnie Terrell Campbell was a registered financial professional .
Ronnie is a previously registered financial professional and started their career in finance in 1969. Ronnie had worked at 7 firms and has passed the 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
July 12, 2018 - December 31, 2018
SECURIAN FINANCIAL SERVICES, INC.
May 13, 2016 - July 9, 2018
SIGNATOR INVESTORS, INC.
October 19, 1992 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 10, 1992 - October 16, 1992
JOHN HANCOCK DISTRIBUTORS LLC
July 1, 1989 - November 16, 1990
CONSECO FINANCIAL SERVICES, INC.
July 3, 1986 - November 16, 1990
CONSECO FINANCIAL SERVICES, INC.
March 26, 1986 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
May 22, 1978 - April 11, 1989
JOHN HANCOCK DISTRIBUTORS LLC
March 16, 1971 - April 2, 1978
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
February 25, 1969 - August 20, 1971
SOUTHWESTERN LIFE INS 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
Exams
Series 1
Date: 2/19/1969
Registered Representative ExaminationCurrent Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
