Brian D. Havermann

BROOKSTONE CAPITAL MANAGEMENT LLC

Palm City, FL

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CRD#: 2078053

Professional summary

Brian David Havermann, who also goes by Brian D Havermann, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Palm City, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Brian has worked at 14 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian D Havermann

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.

Insurance Sales, Havermann Financial Services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Havermann'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 5, 2017 - Present

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Palm City, FL

Past

January 23, 2017 - January 31, 2017

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Arvada, CO

Past

November 20, 2009 - November 14, 2017

HAVERMANN FINANCIAL SERVICES, INC.

RIA

CRD#: 150470

ARVADA, CO

Past

June 29, 2007 - December 31, 2009

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

ARVADA, CO

Past

June 29, 2007 - December 31, 2011

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

ARVADA, CO

Past

November 7, 2006 - June 29, 2007

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

ENGLEWOOD, CO

Past

November 7, 2006 - June 29, 2007

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

ENGLEWOOD, CO

Past

April 23, 2004 - November 7, 2006

SPC

RIA

CRD#: 110692

ARVADA, CO

Past

February 9, 2002 - November 7, 2006

PARKLAND SECURITIES, LLC

CRD#: 115368

ARVADA, CO

Past

October 4, 2000 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 13, 2000 - October 5, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 13, 2000 - October 5, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

December 21, 1997 - June 28, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 20, 1993 - December 20, 1997

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

April 7, 1993 - July 21, 1993

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

April 26, 1991 - April 29, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 26, 1991 - April 29, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

July 26, 1990 - April 16, 1991

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(5/5/2017)

IAR

Florida
(9/9/2022)

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

State Security Law Exam

IAR

Series 65

Date: 5/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/20/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A, APPENDIX 1 - WRAP BROCHURE (7/30/2025)

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (7/30/2025)

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.

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Firm Stability Insights

Brian D. Havermann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Havermann's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE CAPITAL MANAGEMENT LLC

HAVERMANN FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

SPC

PARKLAND SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

OSAIC FS, INC.

WOODBURY FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BROOKSTONE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2017

Series 63

Date: 12/2/2000

Series 7

Date: 2/12/2000

Series 6

Date: 7/20/1990

Current Firm

BROOKSTONE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKSTONE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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