LR
Larry D. Roby
BROOKSTONE CAPITAL MANAGEMENT LLC
Murfreesboro, TN 37128
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CRD#: 1266304
LR
Professional summary
Larry Dale Roby is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Murfreesboro, Tennessee.
Larry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Larry has worked at 7 firms and has passed the Series 63, Series 65, SIE 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.
1)INSURANCE & INVESTMENT BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847FINANCIAL | POSITION HELD: AGENT | ADDRESS: 530 BRANDIES CIR, STE C, MURFREESBORO, TN, 37128 | START DATE: 08/16/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 80 | APPROX TRADING HRS PER MTH: 80 | DESCRIPTION OF DUTIES: INSURANCE & INVESTMENTS SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL INSURANCE SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL ALSO FINANCIAL PLANNING 2)INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: SENIOR FINANCIAL ADVISORS, INC | POSITION HELD: FOUNDER/CEO/OWNER | ADDRESS: 530 BRANDIES CIR, STE C, MURFREESBORO, TN, 37128 | START DATE: 08/16/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 80 | APPROX TRADING HRS PER MTH: 80 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL 3)OWNER RENT PROPERTIES | INVESTMENT RELATED: NO | DBA NAME: LARRY & CYNTHIA ROBY | POSITION HELD: OWNER | ADDRESS: 7037 BEVERLY COURT, CHRISTIANA, TN 37037 | START DATE: 08/16/2023 | NATURE OF ACTIVITY: RENT PROPERTY OWNER | APPROX HRS PER MTH: 5 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: OWNER OF 2 PROPERTIES: COLLECT RENTS
CRS (Client Relationship Summary) - RIA
Click below to view Larry Dale Roby'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
October 9, 2023 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 4019 Luke Court Suite B, Murfreesboro, TN 37128RIA
CRD#: 141413
Murfreesboro, TN
Past
August 16, 2023 - October 5, 2023
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
Murfreesboro, TN
Past
June 18, 2015 - August 29, 2023
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
MURFREESBORO, TN
Past
December 5, 2011 - June 18, 2015
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
MURFREESBORO, TN
Past
November 12, 2010 - November 28, 2011
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
MUREREESBORO, TN
Past
January 4, 2010 - September 17, 2010
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
MURFREESBORO, TN
Past
April 10, 2008 - January 4, 2010
REDHAWK WEALTH ADVISORS, INC.
RIA
CRD#: 146616
MURFREESBORO, TN
Past
May 31, 1984 - October 4, 1985
PFS INVESTMENTS INC.
BD
CRD#: 10111
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
Florida(10/18/2023)
IAR
Georgia(11/8/2023)
IAR
Indiana(10/9/2023)
IAR
Kentucky(10/9/2023)
IAR
Louisiana(10/9/2023)
IAR
Ohio(10/10/2023)
IAR
Tennessee(10/9/2023)
IAR
Texas(10/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413Murfreesboro, TN 37128TRUST BUT VERIFY
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