Campbell Williams, Inc.’s official brochure, Form ADV Part II, is filed with the State of Florida
- Every financial advisor registered in the State of Florida is required to file Form ADV Part II, a public document describing the company and its business
Some additional websites that may be useful:
- United States Securities and Exchange Commission (SEC)
- The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds.
- Financial Industry Regulatory Authority (FINRA)
- FINRA is the largest independent regulator for all securities firms doing business in the U.S. Their chief role is to protect investors by maintaining the fairness of the U.S. capital markets.
- Campbell Williams, Inc.’s CRD # is 142243, which can be looked up on the FINRA database.
- Florida Office of Financial Regulation (OFR)
- OFR’s mission is to protect the citizens of Florida by carrying out the banking, securities and financial laws of the state efficiently and effectively and providing regulation of business that promotes the sound growth and development of Florida’s economy.