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John Stanley Harding

John Stanley Harding

CFP®
CRD# 1551790·Registered 1986 - 2026
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Stanley Harding, CFP®, who also goes by Johnny Harding, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1986 - 2026. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Johnny Harding

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 1998

Years of Experience

40 years in the financial services industry

Current & Past Employments

Past

BROOKSTONE CAPITAL MANAGEMENT LLCPast·CRD# 141413
RIA
White Plains, MD
November 1, 2019 - October 23, 2026
SPECIALIZED ADVISORSPast·CRD# 299308
RIA
White Plains, MD
February 5, 2019 - October 12, 2019
SECURE INVESTMENT MANAGEMENT, LLCPast·CRD# 141195
RIA
White Plains, MD
June 11, 2015 - February 6, 2019
AMERITAS INVESTMENT COMPANY, LLCPast·CRD# 14869
RIA
White Plains, MD
September 18, 2014 - May 19, 2015
AMERITAS INVESTMENT COMPANY, LLCPast·CRD# 14869
BD
White Plains, MD
September 17, 2014 - May 19, 2015
AMERITAS INVESTMENT COMPANY, LLCPast·CRD# 14869
RIA
White Plains, MD
July 17, 1998 - September 26, 2012
AMERITAS INVESTMENT COMPANY, LLCPast·CRD# 14869
BD
White Plains, MD
May 15, 1998 - September 26, 2012
CADARET, GRANT & CO., INC.Past·CRD# 10641
BD
Syracuse, NY
January 2, 1998 - May 14, 1998
PINEBRIDGE SECURITIES LLCPast·CRD# 5967
BD
New York, NY
October 27, 1995 - January 2, 1998
LUTHERAN BROTHERHOOD SECURITIES CORP.Past·CRD# 4205
BD
Minneapolis, MN
August 1, 1990 - October 13, 1995
HORNOR, TOWNSEND & KENT, LLCPast·CRD# 4031
BD
Conshohocken, PA
May 11, 1989 - July 26, 1990
ILG SECURITIES CORPORATIONPast·CRD# 422
BD
March 31, 1987 - April 8, 1989
VOYA FINANCIAL ADVISORS, INC.Past·CRD# 2882
BD
October 21, 1986 - June 21, 1988

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Current Firm

BC
BROOKSTONE CAPITAL MANAGEMENT LLC

BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC

CRD#: 141413 / SEC#: 801-68010
RIA
Registered Investment Advisory firm - SEC (6/20/2007 Approved)
Arizona
Registered Investment Advisory firm - Arizona (6/25/2007 Terminated)
Arkansas
Registered Investment Advisory firm - Arkansas (7/3/2007 Terminated)
California
Registered Investment Advisory firm - California (6/26/2007 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (6/20/2007 Terminated)
Indiana
Registered Investment Advisory firm - Indiana (6/25/2007 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (7/19/2007 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (6/25/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - Oklahoma (6/20/2007 Terminated)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (6/27/2007 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (7/25/2007 Terminated)
Texas
Registered Investment Advisory firm - Texas (6/25/2007 Terminated)
Virginia
Registered Investment Advisory firm - Virginia (7/6/2007 Terminated)
Washington
Registered Investment Advisory firm - Washington (6/25/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (6/25/2007 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

1745 S. Naperville Road Suite 200, Wheaton, IL 60189

Phone Number

(630) 653-1400

# of Employees

405

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A, APPENDIX 1 - WRAP BROCHURE (3/11/2026)

Regulatory Assets Under Management

Total Number of Accounts

81,900

AUM (Assets Under Management)

$12,750,129,748

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) FINANCIAL SERVICES ASSOCIATES; NON-INVESTMENT RELATED (OWNER) 10906 TIMOTHY CT, WHITE PLAINS, MD 20695 SALE OF INSURANCE AND INDEXED ANNUITIES, TO INCLUDE LIFE INSURANCE, LONG-TERM CARE, DISABILITY INSURANCE, INDIVIDUAL MEDICAL INSURANCE START DATE=06/1985; HRS/MO=300; TRADING HRS/MO=100

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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 - SEC (6/20/2007 Approved)
Arizona
Registered Investment Advisory firm - Arizona (6/25/2007 Terminated)
Arkansas
Registered Investment Advisory firm - Arkansas (7/3/2007 Terminated)
California
Registered Investment Advisory firm - California (6/26/2007 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (6/20/2007 Terminated)
Indiana
Registered Investment Advisory firm - Indiana (6/25/2007 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (7/19/2007 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (6/25/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - Oklahoma (6/20/2007 Terminated)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (6/27/2007 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (7/25/2007 Terminated)
Texas
Registered Investment Advisory firm - Texas (6/25/2007 Terminated)
Virginia
Registered Investment Advisory firm - Virginia (7/6/2007 Terminated)
Washington
Registered Investment Advisory firm - Washington (6/25/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (6/25/2007 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1990About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed May 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1998About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1986About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jan 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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