Alfred G. Cali
Professional summary
Alfred Guy Cali was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alfred Guy Cali, who also goes by Al Cali, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1990. Alfred had worked at 13 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2012 - June 22, 2012
BROOKSTONE SECURITIES, INC.
April 1, 2010 - August 31, 2011
PAULSON INVESTMENT COMPANY LLC
March 18, 2009 - March 26, 2010
GUNNALLEN FINANCIAL, INC
April 6, 2006 - March 18, 2009
OBSIDIAN FINANCIAL GROUP, LLC
January 4, 2006 - March 23, 2006
THE INVESTMENT CENTER, INC.
January 19, 2004 - December 31, 2005
PGP FINANCIAL, INC.
October 28, 1997 - December 2, 2003
SECURITIES AMERICA, INC.
July 27, 1995 - September 3, 1997
OSAIC WEALTH, INC.
May 13, 1994 - July 25, 1995
ROBERT W. BAIRD & CO. INCORPORATED
May 13, 1994 - July 25, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 26, 1993 - September 24, 1993
SECURITIES AMERICA, INC.
May 22, 1991 - August 9, 1993
RELIASTAR FINANCIAL MARKETING CORP.
October 9, 1990 - May 8, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 9, 1990 - May 8, 1991
EQUITABLE ADVISORS, 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.
