Neil M. 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.
Neil M Campbell was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 2007. Neil had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2016 - August 9, 2021
BROKERTEC AMERICAS LLC
March 26, 2015 - April 5, 2016
HSBC SECURITIES (USA) INC.
June 18, 2013 - August 7, 2013
ADVISORS ASSET MANAGEMENT, INC.
June 1, 2009 - August 8, 2012
BGC FINANCIAL, L.P.
May 22, 2008 - September 2, 2008
BGC FINANCIAL, L.P.
January 4, 2008 - January 15, 2008
BGC FINANCIAL, L.P.
August 22, 2007 - September 19, 2007
BGC FINANCIAL, L.P.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BROKERTEC AMERICAS LLC
CRD#: 47477 / SEC#: , 8-51803
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROKERTEC HOLDINGS INC. | 100% OWNERSHIP | |
| CALDERON, DAVID JASON | CHIEF FINANCIAL OFFICER | 4575354 |
| DENNIS, MICHAEL | DIRECTOR | 4192184 |
| HIRSCHMANN, ELISA M | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5112554 |
| WAKEFIELD, JONATHAN BISHOP | CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1676639 |
| WEINMAN, ANDREW LEONARD | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5209879 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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