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RC

Roxanne F. Campbell

OPES BESPOKE SECURITIES
NEW YORK, NY 10036
CRD#: 4424325
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RC
Roxanne Felecia CampbellOPES BESPOKE SECURITIES

Professional summary


Roxanne Felecia Campbell is a registered financial professional currently at OPES BESPOKE SECURITIES LLC located in New York, New York.

Roxanne is registered as a RR (Registered Representative) and started their career in finance in 2001. Roxanne has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Roxanne Felecia Campbell's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

June 4, 2018 - Present

OPES BESPOKE SECURITIES LLC

Office #1: 1140 Avenue Of The Americas 9th Floor, New York, NY 10036
BD
CRD#: 129841
NEW YORK, NY
Past

September 22, 2008 - August 1, 2011

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 22, 2001 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
RR
Series 63
Date: 4/4/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


OB
OPES BESPOKE SECURITIES LLC
CORPORATE DEVELOPMENT CAPITAL, LLC | OPES BESPOKE SECURITIES LLC

CRD#: 129841 / SEC#: , 8-66262

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
1140 Avenue Of The Americas 9th Floor, New York, NY 10036
Mailing Address
1140 Avenue Of The Americas 9th Floor, New York, NY 10036
Phone number
(646) 701-7036
Established
Colorado since 07/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)


Documents


Direct owners and executive officers


NamePositionCRD#
BAY ROAD ENTERPRISES LLCOWNER
CAMPBELL, ROXANNE FELECIACHIEF EXECUTIVE OFFICER4424325
GEORGE, CHRISTOPHER MFINANCIAL OPERATIONAL PRINCIPAL6084415
PASTERCZYK, FRANKLINCHIEF COMPLIANCE OFFICER1907271

Disclosures


Regulatory Event1

Red Flags


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Company Information


OPES BESPOKE SECURITIES LLC

CRD#: 129841New York, NY 10036

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