Antony L. Turbeville
Professional summary
Antony Lee Turbeville was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Antony is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Antony had worked at 11 firms, which includes BROOKSTONE SECURITIES INC., ARCHER ALEXANDER SECURITIES CORPORATION, NATIONS FINANCIAL GROUP INC., GUNNALLEN FINANCIAL INC, KOVACK SECURITIES INC., INTERFIRST CAPITAL CORPORATION, SAN CLEMENTE SECURITIES INC., 1717 CAPITAL MANAGEMENT COMPANY, NORTH AMERICAN MANAGEMENT INC., NATIONAL PLANNING CORPORATION, PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2006 - June 20, 2012
BROOKSTONE SECURITIES, INC.
April 15, 2005 - June 20, 2012
BROOKSTONE SECURITIES, INC.
January 2, 2004 - April 12, 2005
ARCHER ALEXANDER SECURITIES CORPORATION
December 18, 2003 - January 5, 2004
NATIONS FINANCIAL GROUP, INC.
April 16, 2003 - December 18, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
August 6, 2002 - April 21, 2003
GUNNALLEN FINANCIAL, INC
May 20, 2002 - August 2, 2002
GUNNALLEN FINANCIAL, INC
July 14, 2000 - May 22, 2002
KOVACK SECURITIES INC.
April 10, 2000 - July 20, 2000
INTERFIRST CAPITAL CORPORATION
June 10, 1999 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
January 5, 1995 - June 10, 1999
1717 CAPITAL MANAGEMENT COMPANY
April 4, 1994 - February 13, 1995
NORTH AMERICAN MANAGEMENT, INC.
June 25, 1993 - April 4, 1994
NATIONAL PLANNING CORPORATION
September 4, 1987 - June 25, 1991
PFS INVESTMENTS 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
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.
