James A. Rathgeber
Professional summary
James Andrew Rathgeber was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, James had worked at 5 firms, which includes BROOKSTONE SECURITIES INC., NATIONAL SECURITIES CORPORATION, JOSEPH STEVENS & CO. INC., A.S. GOLDMEN & CO. INC., D. H. BLAIR & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2009 - May 14, 2010
BROOKSTONE SECURITIES, INC.
April 24, 2008 - March 20, 2009
NATIONAL SECURITIES CORPORATION
April 25, 1994 - April 25, 2008
JOSEPH STEVENS & CO., INC.
August 16, 1991 - May 2, 1994
A.S. GOLDMEN & CO., INC.
April 26, 1988 - August 16, 1991
D. H. BLAIR & CO., INC.
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
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