Thomas W. Camplin

SAFRA SECURITIES LLC

New York, NY 10036

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CRD#: 5026273

Professional summary

Thomas W Camplin is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Thomas W Camplin's CRS (Customer Relationship Summary).

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

January 3, 2024 - Present

SAFRA SECURITIES LLC

Office #1: 546 Fifth Ave, New York, NY 10036Office #2: 546 Fifth Avenue, New York, NY 10036

CRD#: 47873

New York, NY

Past

September 29, 2023 - October 13, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 10, 2007 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

NEW YORK, NY

Past

December 16, 2005 - December 1, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OMAHA, NE

Past

November 10, 2005 - December 1, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OMAHA, NE

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/3/2024)

Colorado
(8/2/2024)

Connecticut
(8/2/2024)

Delaware
(8/2/2024)

District of Columbia
(8/2/2024)

Florida
(1/3/2024)

Georgia
(8/2/2024)

Illinois
(8/2/2024)

Maryland
(8/2/2024)

Massachusetts
(8/2/2024)

New Jersey
(8/2/2024)

New York
(1/3/2024)

South Dakota
(8/2/2024)

Texas
(1/3/2024)

Wyoming
(1/3/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SAFRA SECURITIES LLC

SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC

CRD#: 47873 / SEC#: , 8-51935

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

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Contact information

Main Address

546 Fifth Ave, New York, NY 10036

Mailing Address

546 Fifth Ave, New York, NY 10036

Phone number

(212) 704-5500

Established

Delaware since 12/31/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAFRA NATIONAL BANK OF NEW YORK	SOLE SHAREHOLDER
BONFIM, CARLOS CESAR BERTACO	DIRECTOR
COLOMBO, RAFAELO	DIRECTOR	6054935
DIBIASI, ANTHONY	FINOP	6435706
GRUNWALD, MARK STEVEN	DIRECTOR & PRESIDENT	3262204
JAVIER, SIGMUND PETER	DIRECTOR	6002619
MCCARTHY, GERARD THOMAS	CHIEF COMPLIANCE OFFICER	3121615
MORATO, SIMONI PASSOS	DIRECTOR	5568481
OSWALD, THOMAS FRANCIS	CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER	1828798
YOU, SANG MIN JIMMY	CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER	6693855

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

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Thomas W. Camplin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas W Camplin's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2005

Series 24

Date: 12/6/2024

FINRA

Current Firm

SAFRA SECURITIES LLC

Contact information

FINRA licenses (45 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SAFRA SECURITIES LLC

TRUST BUT VERIFY

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