BROOKSTONE SECURITIES, INC.
Legal name: BROOKSTONE INVESTMENT ADVISORY SERVICES
CRD #13366 SEC #801-67061 LAKELAND, FL 863-687-9670
SEC Registered Broker-Dealer Disclosures
Total AUM
$78M
Discretionary
$74.4M
Employees
51
Clients
1
Accounts
565
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 27, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, KYONG | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CHIEF OPERATING OFFICER, FINOP | NA | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CHIEF OPERATING OFFICER, FINOP | NA | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CHIEF OPERATING OFFICER, FINOP | NA | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CHIEF OPERATING OFFICER, FINOP | NA | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CHIEF OPERATING OFFICER, FINOP | NA | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CHIEF OPERATING OFFICER, FINOP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| LOCY, DAVID WILLIAM | I | CFO, CHIEF COMPLIANCE OFFICER, FINOP, SROP | NA | Control |
| MERCIER, MARK MATHER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MERCIER, MARK MATHER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MERCIER, MARK MATHER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO/FINOP | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO/FINOP | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO/FINOP | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO/FINOP | NA | Control |
| RICHARDSON, PAUL REID | I | PRESIDENT/CEO/FINOP | NA | Control |
| ZUMBRUN, DENISE JULIUS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZUMBRUN, DENISE JULIUS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZUMBRUN, DENISE JULIUS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZUMBRUN, DENISE JULIUS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | DE | PARENT COMPANY | E | |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | CHAIRMAN OF BOARD, CHIEF EXECUTIVE OFFICER | E | Control |
| TURBEVILLE, ANTONY LEE | I | CHAIRMAN OF BOARD, CHIEF EXECUTIVE OFFICER | E | Control |
| TURBEVILLE, ANTONY LEE | I | CHAIRMAN OF BOARD, CHIEF EXECUTIVE OFFICER | E | Control |
| TURBEVILLE, ANTONY LEE | I | CHAIRMAN OF BOARD, CHIEF EXECUTIVE OFFICER | E | Control |
| TURBEVILLE, ANTONY LEE | I | CHAIRMAN OF BOARD, CHIEF EXECUTIVE OFFICER | E | Control |
| TURBEVILLE, ANTONY LEE | I | CHAIRMAN OF BOARD, CHIEF EXECUTIVE OFFICER | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| TURBEVILLE, ANTONY LEE | I | PRESIDENT/CEO | E | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CEO, FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CEO, FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CEO, FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CEO, FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CEO, FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | PRESIDENT, CEO, FINOP | B | Control |
| LOCY, DAVID WILLIAM | I | DIRECT OWNER | B | |
| LOCY, DAVID WILLIAM | I | DIRECT OWNER | B | |
| LOCY, DAVID WILLIAM | I | DIRECT OWNER | B | |
| LOCY, DAVID WILLIAM | I | DIRECT OWNER | B | |
| LOCY, DAVID WILLIAM | I | DIRECT OWNER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
| TURBEVILLE, ANTONY LEE | I | BROOKSTONE CAPITAL MANAGEMENT, LLC | E | Control |
Registrations
Federal
IA
Apr 27, 2012 REGISTERED
Notice Filings (39)
AL AR AZ CA CO CT DE FL GA IA IL IN KS KY LA MA ME MI MN MO MS NC NE NJ NM NV NY OH OK PA RI SC TN TX UT VA WA WI WV
Address
2920 DRANE FIELD ROADLAKELAND, FL 33813
United States
Phone: 863-687-9670