Nacoleon Solomon
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.
Nacoleon Solomon SR, who also goes by Nacoleon Solomon, Nick Solomon Sr, Nick Solomon, was a registered financial professional .
Nacoleon is a previously registered financial professional and started their career in finance in 1988. Nacoleon had worked at 11 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
February 8, 2012 - June 22, 2012
BROOKSTONE SECURITIES, INC.
January 28, 2009 - February 8, 2012
WOODBURY FINANCIAL SERVICES, INC.
January 20, 2006 - January 28, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 11, 2001 - October 11, 2005
OPPENHEIMER & CO. INC.
October 20, 1998 - December 20, 2001
GRUNTAL & CO., L.L.C.
July 29, 1996 - November 4, 1998
GLEACHER & COMPANY SECURITIES, INC.
June 17, 1991 - July 12, 1996
GRUNTAL & CO., L.L.C.
November 30, 1989 - September 10, 1990
CITIGROUP GLOBAL MARKETS INC.
July 25, 1989 - November 16, 1989
WOOD-POMERANTZ SECURITIES, INC
June 2, 1989 - July 29, 1989
AUSTIN SECURITIES, INC.
January 12, 1989 - May 8, 1989
J. T. MORAN & CO., INC.
June 15, 1988 - January 26, 1989
BNY MELLON SECURITIES CORPORATION
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.
