John M. Gifford
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 M Gifford, who also goes by Jack Gifford, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 12 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2010 - March 2, 2012
BROOKSTONE CAPITAL MANAGEMENT LLC
January 4, 2010 - June 18, 2013
CENTER STREET SECURITIES, INC.
January 3, 2008 - January 5, 2010
QUESTAR ASSET MANAGEMENT, INC.
December 1, 2006 - January 5, 2010
QUESTAR CAPITAL CORPORATION
April 18, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
January 24, 2005 - May 1, 2006
FSC SECURITIES CORPORATION
April 28, 2004 - May 1, 2006
FSC SECURITIES CORPORATION
April 19, 2001 - April 28, 2004
VALIC FINANCIAL ADVISORS, INC.
October 7, 1998 - April 28, 2004
VALIC FINANCIAL ADVISORS, INC.
June 17, 1998 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
July 26, 1991 - December 10, 1998
PRINCIPAL SECURITIES, INC.
May 7, 1991 - June 18, 1991
MONY SECURITIES CORPORATION
July 10, 1989 - May 6, 1991
PRINCIPAL SECURITIES, INC.
August 20, 1985 - May 22, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 20, 1985 - May 22, 1989
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
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 CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
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
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.
