THOMAS JAMES CAMPBELL

THOMAS JAMES CAMPBELL is currently employed as a Broker and/or Investment Adviser at TRADESTATION SECURITIES, INC. located at 120 South Riverside Plaza, Suite 1650, CHICAGO, IL, 60606.

THOMAS JAMES CAMPBELL has worked at TRADESTATION SECURITIES, INC. since May 21, 2009

Disclosure History

THOMAS JAMES CAMPBELL has 1 Disclosure Event(s).

Date: September 07, 1996
Category: Criminal
Charges: CHARGED WITH ONE (1) FELONY COUNT OF POSSESION OF CONTROLLED SUBSTANCE Charge Type: FELONY
Disposition: FINDING WAS NO PROBABLE CAUSE AND CASE WAS DISMISSED

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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