John J. Mcnulty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John James Mcnulty III, who also goes by John James Mcnulty, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2015 - October 28, 2019
BROOKSTONE WEALTH ADVISORS, LLC
October 26, 2012 - March 23, 2015
HORTER INVESTMENT MANAGEMENT, LLC
June 2, 2008 - April 14, 2009
PRIME CAPITAL SERVICES, INC.
May 3, 2005 - April 28, 2008
OSAIC FS, INC.
May 3, 2005 - April 28, 2008
OSAIC FS, INC.
February 10, 2005 - March 14, 2005
OSAIC WEALTH, INC.
June 26, 2002 - February 11, 2005
OSAIC FS, INC.
November 11, 1999 - February 11, 2005
OSAIC FS, INC.
July 22, 1997 - November 15, 1999
HORNOR, TOWNSEND & KENT, LLC
May 3, 1994 - June 4, 1997
1717 CAPITAL MANAGEMENT COMPANY
October 28, 1988 - February 15, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 28, 1988 - February 15, 1994
EQUITABLE ADVISORS, LLC
April 19, 1988 - October 17, 1988
MOORE & SCHLEY, CAMERON & CO.
January 30, 1986 - November 17, 1987
RICKEL & ASSOCIATES, INC.
June 17, 1985 - January 24, 1986
UNDERHILL ASSOCIATES, INCORPORATED
October 9, 1984 - June 14, 1985
CITIGROUP GLOBAL MARKETS INC.
July 21, 1983 - September 12, 1984
MID-STATE SECURITIES CORP.
Primary Firm SEC Registration
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
Contact information
SEC notice filing (52 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
