SC
Scott P. Carter
BROOKSTONE CAPITAL MANAGEMENT LLC
HAMDEN, ME 04444-3222
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CRD#: 1440879
SC
Professional summary
Scott Perry Carter is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Hamden, Maine.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Scott has worked at 10 firms and has passed the Series 65, Series 63, Series 22, Series 62, Series 6 and Series 26 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Perry Carter'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 7, 2009 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 1088 Western Ave., Hamden, ME 04444-3222RIA
CRD#: 141413
HAMDEN, ME
Past
November 6, 2008 - October 12, 2009
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
HAMPDEN, ME
Past
June 11, 2008 - October 28, 2008
AMERICAN INVESTMENT SERVICES
RIA
CRD#: 144088
HAMPDEN, ME
Past
December 5, 2006 - June 18, 2008
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
HAMPDEN, ME
Past
January 3, 2006 - October 12, 2009
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
HAMPDEN, ME
Past
January 11, 2005 - January 13, 2006
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
HAMPDEN, ME
Past
June 21, 2002 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
HAMPDEN, ME
Past
September 11, 2000 - January 13, 2006
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
November 20, 1997 - September 8, 2000
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
October 29, 1997 - November 20, 1997
PMG SECURITIES CORPORATION
BD
CRD#: 27107
Past
March 22, 1995 - November 6, 1997
IAC SECURITIES, INC.
BD
CRD#: 14081
TINLEY PARK, IL
Past
October 8, 1993 - December 16, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
April 19, 1991 - October 21, 1993
AC FINANCIAL, INC.
BD
CRD#: 21616
PALM HARBOR, FL
Past
December 17, 1985 - February 21, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(2/11/2010)
IAR
Maine(10/7/2009)
IAR
South Carolina(10/8/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/22/2002
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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#: 141413Hamden, ME 04444-3222TRUST BUT VERIFY
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