Gary A. Mitchell
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.
Gary Allen Mitchell was a registered financial advisor .
Gary is a previously registered financial advisor and started their career in finance in 1987. Gary had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 51 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
June 20, 2007 - July 17, 2007
BROOKSTONE SECURITIES, INC.
September 22, 2006 - May 23, 2007
OSAIC SERVICES, INC.
October 31, 2005 - May 23, 2007
OSAIC SERVICES, INC.
October 30, 1995 - October 31, 2005
SUNAMERICA SECURITIES, INC.
March 25, 1987 - October 31, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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 SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
