PG
Pelayo N. Garcia
BROOKSTONE CAPITAL MANAGEMENT LLC
Weston, FL 33326
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CRD#: 2084937
PG
Professional summary
Pelayo Nicholas Garcia JR, who also goes by Pelayo N Jr Garcia, Pete Garcia, Peter Garcia Jr, Pelayo (peter) Garcia, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Weston, Florida.
Pelayo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Pelayo has worked at 8 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pelayo N Jr Garcia | Pete Garcia | Peter Garcia Jr | Pelayo (peter) Garcia
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.
GBS Financial, Non-Investment Related business, 2645 Executive Park Drive Weston, FL 33331, Insurance/Annuity Related business, Owner/Licensed Insurance Agent, Start date - 01/2003 - Present, 40 hours per week and during trading hours.
J.D. Mellberg Financial, LLC. - Non-investment related business - 3067 W. Ina Road, Suite 105 Tucson, AZ. 85741 - Insurance Agency - Contracted/Licensed Insurance Agent - Start date - 09/2015 - Present - 20 hours per week and during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Pelayo Nicholas Garcia JR'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
August 30, 2017 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 1555 Bonaventure Boulevard, Weston, FL 33326RIA
CRD#: 141413
Weston, FL
Past
November 4, 2015 - August 22, 2017
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Weston, FL
Past
December 20, 2013 - January 13, 2015
ROBOTIC TRADING ADVISORS, LLC
RIA
CRD#: 168687
WESTON, FL
Past
February 4, 2013 - December 12, 2013
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
WESTON, FL
Past
October 18, 2000 - May 1, 2003
NEW ENGLAND SECURITIES
RIA
CRD#: 615
MIAMI, FL
Past
October 11, 2000 - May 1, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 2, 2000 - September 6, 2000
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 8, 1999 - February 29, 2000
STANFORD GROUP COMPANY
BD
CRD#: 39285
HOUSTON, TX
Past
March 20, 1992 - February 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 21, 1990 - March 4, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Florida(8/30/2017)
IAR
Texas(1/26/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413Weston, FL 33326TRUST BUT VERIFY
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