Thomas J. Gorter
Professional summary
Thomas Joseph Gorter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Thomas had worked at 5 firms, which includes BROOKSTONE SECURITIES INC., QUESTAR CAPITAL CORPORATION, CONSECO SECURITIES INC., CONSECO FINANCIAL SERVICES INC., N.I.S. FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2008 - November 24, 2009
BROOKSTONE SECURITIES, INC.
May 21, 2001 - January 31, 2008
QUESTAR CAPITAL CORPORATION
August 5, 1998 - May 22, 2001
CONSECO SECURITIES, INC.
January 12, 1988 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
November 20, 1981 - March 23, 1988
N.I.S. FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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