Alan H. Smith

BROOKSTONE WEALTH ADVISORS

Littleton, CO

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CRD#: 1945068

Professional summary

Alan Henry Smith, who also goes by Alan H Smith, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Littleton, Colorado.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Alan has worked at 7 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan H Smith

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Henry Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 8, 2023 - Present

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Littleton, CO

Past

September 21, 2016 - May 10, 2023

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

Littleton, CO

Past

January 8, 2002 - August 21, 2009

CAPITAL SECURITIES INVESTMENT CORPORATION

CRD#: 5606

OAK BROOK, IL

Past

January 7, 2000 - January 31, 2002

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

January 1, 1996 - December 31, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

April 20, 1995 - January 1, 1996

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

March 15, 1993 - October 25, 1993

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

April 25, 1989 - March 15, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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

Colorado
(5/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 6

Date: 4/18/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

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Alan H. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Henry Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE WEALTH ADVISORS, LLC

FOUNDATIONS INVESTMENT ADVISORS LLC

CAPITAL SECURITIES INVESTMENT CORPORATION

OLD SLIP CAPITAL MANAGEMENT, INC.

LOCUST STREET SECURITIES, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 6

Date: 4/18/1989

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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