TO
Thomas J. O'connell
BROOKSTONE CAPITAL MANAGEMENT LLC
Knoxville, TN 37919
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CRD#: 1686988
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Professional summary
Thomas Joseph O'connell JR, who also goes by Tom O'connell, Thomas Joseph Oconnell Jr, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Knoxville, Tennessee.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom O'connell | Thomas Joseph Oconnell Jr
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 Thomas Joseph O'connell JR'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
September 24, 2019 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 1717 Winston Rd, Knoxville, TN 37919Office #2: 8 Campus Drive, Suite 105, Parsippany, NJ 07054RIA
CRD#: 141413
Knoxville, TN
Past
December 19, 2005 - January 5, 2016
INTERNATIONAL FINANCIAL ADVISORY GROUP, INC.
RIA
CRD#: 128998
PARSIPPANY, NJ
Past
June 8, 2004 - August 4, 2004
APW CAPITAL, INC.
RIA
CRD#: 43814
Rockaway, NJ
Past
June 8, 2004 - September 30, 2019
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 119890
PARSIPPANY, NJ
Past
February 10, 2000 - September 30, 2019
APW CAPITAL, INC.
BD
CRD#: 43814
Rockaway, NJ
Past
December 11, 1996 - February 1, 2000
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
November 27, 1996 - December 19, 1996
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
Past
November 18, 1991 - November 27, 1996
SUMMIT EQUITIES, INC.
BD
CRD#: 11039
PARSIPPANY, NJ
Past
April 5, 1988 - November 22, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 5, 1988 - November 22, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
October 20, 1987 - February 1, 1988
HYM FINANCIAL, INC.
BD
CRD#: 16983
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
New Jersey(10/8/2019)
IAR
Tennessee(9/24/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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#: 141413Knoxville, TN 37919TRUST BUT VERIFY
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