RC
Rick W. Campbell
FINANCIAL INDEPENDENCE
WARWICK, RI 02886-2213
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CRD#: 4566472
RC
Professional summary
Rick Walter Campbell, AIF®, ChFC® is a registered financial advisor currently at FINANCIAL INDEPENDENCE, LLC located in Warwick, Rhode Island.
Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Rick has worked at 3 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
INSURANCE/BROKERAGE.
BOARD MEMBER-TRUDEA MEMORIAL FOUNDATION. STARTING 01/2008 SPEND LESS THAN 10 HOURS/ MONTH AT THIS ACTIVITY.
CRS (Client Relationship Summary) - RIA
Click below to view Rick Walter 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®
Experience
Current
June 1, 2009 - Present
FINANCIAL INDEPENDENCE, LLC
Office #1: 931 Jefferson Boulevard, Suite 2005, Warwick, RI 02886-2213RIA
CRD#: 150515
WARWICK, RI
Past
January 3, 2003 - July 9, 2009
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
WARWICK, RI
Past
December 18, 2002 - July 9, 2009
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
WARWICK, RI
Past
November 6, 2002 - December 19, 2002
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
RIA
CRD#: 40596
HARTFORD, CT
Past
September 26, 2002 - December 19, 2002
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
BD
CRD#: 40596
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FI
FINANCIAL INDEPENDENCE, LLC
FINANCIAL INDEPENDENCE, LLC
CRD#: 150515 / SEC#: 801-120254
RIA
Registered Investment Advisory firm - (2/17/2021 Approved)Connecticut
Registered Investment Advisory firm - (3/16/2021 Terminated)Florida
Registered Investment Advisory firm - (2/25/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (2/25/2021 Terminated)Rhode Island
Registered Investment Advisory firm - (2/25/2021 Terminated)Texas
Registered Investment Advisory firm - (2/25/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Connecticut(8/11/2009)
IAR
Florida(7/14/2009)
IAR
Massachusetts(6/1/2009)
IAR
Rhode Island(6/17/2009)
IAR
Texas(9/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FI
FINANCIAL INDEPENDENCE, LLC
FINANCIAL INDEPENDENCE, LLC
CRD#: 150515 / SEC#: 801-120254
RIA
Registered Investment Advisory firm - (2/17/2021 Approved)Connecticut
Registered Investment Advisory firm - (3/16/2021 Terminated)Florida
Registered Investment Advisory firm - (2/25/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (2/25/2021 Terminated)Rhode Island
Registered Investment Advisory firm - (2/25/2021 Terminated)Texas
Registered Investment Advisory firm - (2/25/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
931 Jefferson Blvd. Suite 2005, Warwick, RI 02886-2213
Mailing Address
Phone number
(401) 681-4825
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 834 |
| AUM (Assets Under Management) | $ 242,343,248 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FINANCIAL INDEPENDENCE, LLC
CRD#: 150515Warwick, RI 02886-2213TRUST BUT VERIFY
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