Timothy A. 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.
Timothy Aaron Campbell, who also goes by Tim Aaron Campbell, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2001. Timothy had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2017 - October 19, 2018
PRUCO SECURITIES, LLC.
August 3, 2017 - October 19, 2018
PRUCO SECURITIES, LLC.
February 1, 2017 - July 25, 2017
THE HUNTINGTON INVESTMENT COMPANY
February 1, 2017 - July 25, 2017
THE HUNTINGTON INVESTMENT COMPANY
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
September 8, 2011 - September 18, 2013
FIRSTMERIT ADVISORS, INC.
August 23, 2011 - September 18, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
January 3, 2011 - August 30, 2011
SECURITIES AMERICA, INC.
January 25, 2010 - September 29, 2010
KEY INVESTMENT SERVICES LLC
July 6, 2005 - December 22, 2009
CHASE INVESTMENT SERVICES CORP.
September 22, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 9, 2002 - May 9, 2003
EQUITABLE ADVISORS, LLC
December 4, 2001 - May 2, 2002
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
Current Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
