RG
Ralph A. Grauso
BROOKSTONE CAPITAL MANAGEMENT LLC
BARTONSVILLE, PA 18321
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CRD#: 1103335
RG
Professional summary
Ralph Anthony Grauso is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Bartonsville, Pennsylvania.
Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Ralph has worked at 5 firms and has passed the Series 65 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
OWNER OF AMERICAN SENIOR COORDINATORS, 104 ROUTE 611, SUITE 4A, BARTONSVILLE, PA SINCE 12/2004. NOT INVESTMENT RELATED- PROVIDES ESTATE PLANNING DOCUMENTS THROUGH AN ATTORNEY, DOING THE SERVICE WORK(DELIVERY OF DOCUEMTNS, FUNDING, ESTATE SETTLEMENT). I OVERSEE AND MANAGE THIS SERVICE THROUGH OTHER ADVISERS WHO WORK WITH ME. APPROXIMATELY 1 DAY A WEEK.
LIFE INSURANCE AND ANNUITY PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Anthony Grauso's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2014 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 3355 Rt. 611, Suite 5, Bartonsville, PA 18321RIA
CRD#: 141413
BARTONSVILLE, PA
Past
December 8, 2014 - February 4, 2016
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
BARTENSVILLE, PA
Past
September 8, 2010 - February 4, 2014
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
BARTONSVILLE, PA
Past
May 3, 1999 - March 22, 2000
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
February 28, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
July 11, 1986 - February 12, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BC
BROOKSTONE CAPITAL MANAGEMENT LLC
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
CRD#: 141413 / SEC#: 801-68010
RIA
Registered Investment Advisory firm - (6/20/2007 Approved)Arizona
Registered Investment Advisory firm - (6/25/2007 Terminated)Arkansas
Registered Investment Advisory firm - (7/3/2007 Terminated)California
Registered Investment Advisory firm - (6/26/2007 Terminated)Illinois
Registered Investment Advisory firm - (6/20/2007 Terminated)Indiana
Registered Investment Advisory firm - (6/25/2007 Terminated)Nevada
Registered Investment Advisory firm - (7/19/2007 Terminated)Ohio
Registered Investment Advisory firm - (6/25/2007 Terminated)Oklahoma
Registered Investment Advisory firm - (6/20/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Tennessee
Registered Investment Advisory firm - (7/25/2007 Terminated)Texas
Registered Investment Advisory firm - (6/25/2007 Terminated)Virginia
Registered Investment Advisory firm - (7/6/2007 Terminated)Washington
Registered Investment Advisory firm - (6/25/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (6/25/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New Jersey(4/8/2014)
IAR
Pennsylvania(3/31/2014)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
BC
BROOKSTONE CAPITAL MANAGEMENT LLC
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
CRD#: 141413 / SEC#: 801-68010
RIA
Registered Investment Advisory firm - (6/20/2007 Approved)Arizona
Registered Investment Advisory firm - (6/25/2007 Terminated)Arkansas
Registered Investment Advisory firm - (7/3/2007 Terminated)California
Registered Investment Advisory firm - (6/26/2007 Terminated)Illinois
Registered Investment Advisory firm - (6/20/2007 Terminated)Indiana
Registered Investment Advisory firm - (6/25/2007 Terminated)Nevada
Registered Investment Advisory firm - (7/19/2007 Terminated)Ohio
Registered Investment Advisory firm - (6/25/2007 Terminated)Oklahoma
Registered Investment Advisory firm - (6/20/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Tennessee
Registered Investment Advisory firm - (7/25/2007 Terminated)Texas
Registered Investment Advisory firm - (6/25/2007 Terminated)Virginia
Registered Investment Advisory firm - (7/6/2007 Terminated)Washington
Registered Investment Advisory firm - (6/25/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (6/25/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1745 S. Naperville Road Suite 200, Wheaton, IL 60189
Mailing Address
Phone number
(630) 653-1400
Established
Firm type
Fiscal year end
# of Employees
395
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73,650 |
| AUM (Assets Under Management) | $ 10,409,137,908 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
