RB
Ross F. Browne
BROOKSTONE CAPITAL MANAGEMENT LLC
St. Charles, IL 60175
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CRD#: 1999552
RB
Professional summary
Ross Frederick Browne is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in St. Charles, Illinois.
Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Ross has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 NAME OF THE OTHER BUSINESS: IRONGATE ADVISORY INVESTMENT RELATED?: YES NATURE OF OTHER BUSINESS: ANNUITY AND LIFE INSURANCE SALES YOUR POSITION: PRESIDENT/OWNER START DATE: 10/2006 HOW MANY HOURS YOU DEVOTE TO THE OTHER BUSINESS PER MONTH: 50 HOW MANY HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: 25 BRIEFLY DESCRIBE YOUR DUTIES: MANAGE THE BUSINESS, CLIENT MEETINGS, AND SERVICING AND SELLING ANNUITY AND LIFE POLICIES
CRS (Client Relationship Summary) - RIA
Click below to view Ross Frederick Browne'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
December 9, 2016 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 2445 Dean Street Suite H, St. Charles, IL 60175RIA
CRD#: 141413
St. Charles, IL
Past
June 22, 2015 - December 9, 2016
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
ST. CHARLES, IL
Past
February 16, 2005 - October 24, 2005
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
NAPERVILLE, IL
Past
February 2, 2005 - October 24, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
October 12, 2004 - February 8, 2005
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
GENEVA, IL
Past
June 28, 2004 - February 8, 2005
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
December 7, 1998 - November 3, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
May 22, 1995 - December 10, 1998
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
October 25, 1989 - May 23, 1995
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Illinois(12/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
Company Information
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413St. Charles, IL 60175TRUST BUT VERIFY
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