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For Advisors
NC

Navy T. Campos

Some features on this profile are disabled
CRD#: 4589507
NC

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.

Navy Thi Campos, who also goes by Navy Campos, Navy Thi Ly, was a registered financial professional .

Navy is a previously registered financial professional and started their career in finance in 2002. Navy had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Navy Campos | Navy Thi Ly

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 29, 2016 - February 18, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
HARTFORD, CT
Past

August 18, 2015 - February 18, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
HARTFORD, CT
Past

August 26, 2013 - October 1, 2014

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
WINDSOR, CT
Past

September 29, 2010 - November 19, 2012

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
FARMINGTON, CT
Past

May 28, 2009 - September 21, 2010

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
HARTFORD, CT
Past

April 16, 2007 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
HARTFORD, CT
Past

April 16, 2007 - May 15, 2008

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
HARTFORD, CT
Past

September 2, 2004 - September 18, 2006

DIRECTED SERVICES LLC

BD
CRD#: 21675
HARTFORD, CT
Past

November 11, 2002 - September 9, 2004

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, 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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

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
IAR
Series 66
Date: 3/28/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/8/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (1/5/2026)
MERRILL LYNCH FIDUCIARY ADVISORY SERVICES (12/3/2025)
MERRILL GUIDED INVESTING BROCHURE (11/14/2025)
MERRILL PERSONAL RETIREMENT STRATEGY (11/14/2025)
MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)
MERRILL SMALL BUSINESS 401(K) ADVISORY SERVICE (11/10/2025)
MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)
ADVICE ACCESS BROCHURE (3/21/2025)
MERRILL LYNCH INSTITUTIONAL INVESTMENT CONSULTING (3/21/2025)
MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)
MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR SERVICE BROCHURE (3/21/2025)
MERRILL LYNCH MANAGED ACCOUNT SERVICE BROCHURE (3/21/2025)

Direct owners and executive officers

NamePositionCRD#
BAC NORTH AMERICA HOLDING COMPANYSHAREHOLDER
AXELROD, SUSAN FCHIEF COMPLIANCE OFFICER6949587
FAHMY, NANCY MONIRDIRECTOR2689751
GELLENE, MATTHEW THOMASDIRECTOR1977160
HANS, LINDSAY DENARDOSTATE DESIGNATED PRINCIPAL & DIRECTOR4429443
HEATON, DAVID CARLETON JRCHIEF LEGAL OFFICER5972432
MOONEY, SARA RATHBONECHIEF FINANCIAL OFFICER7616382
SABBIA, LORNA ROSEDIRECTOR1873495
SANTANNA, VINCENT C.CHIEF OPERATIONS OFFICER & FINOP5290525
SCHIMPF, ERIC ADIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL2494318

Regulatory assets under management

Total Number of Accounts3,085,811
AUM (Assets Under Management)$ 1,511,090,925,436

Disclosures

Regulatory Event610
Civil Event4
Arbitration878

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/15/2025
Cover Page
Report
11/25/2024
Cover Page
Report
08/24/2023
Cover Page
Report

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.

Company Information

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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