Scott 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.
Scott Campbell was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2010. Scott had worked at 1 firm and has passed the Series 63 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 6, 2010 - May 25, 2012
PHOENIX DERIVATIVES GROUP, LLC
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
PHOENIX DERIVATIVES GROUP, LLC
CRD#: 25802 / SEC#: , 8-42043
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PHOENIX PARTNERS GROUP LP | SOLE MEMBER | |
| BOLTON, JOHN FRANCIS | CO-CHIEF COMPLIANCE OFFICER | 5872938 |
| HERSCHITZ, GARY ALLEN | VICE PRESIDENT, ROSFP | 5227012 |
| ROCKLEY, PAMELA LOUISE | CO-CHIEF COMPLIANCE OFFICER | 1438348 |
| SIPKIN, JOSEPH GARY | FINOP | 1334813 |
| SIPKIN, JOSEPH GARY | CFO | 1334813 |
| STEPHAN, NICHOLAS JOHN | CEO | 2936942 |
Disclosures
| Regulatory Event | 2 |
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.
