PC
Peter J. Conway
BROOKSTONE CAPITAL MANAGEMENT LLC
Buffalo Grove, IL 60089
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CRD#: 2098646
PC
Professional summary
Peter James Conway is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Buffalo Grove, Illinois.
Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Peter has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 3 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.
1- CONWAY TAX ADVISORS GROUP LTD
BUFFALO GROVE, ILLINOIS
START DATE-12/2005
OWNER/PRESIDENT
INSURANCE AND ANNUITY SALES
COMMISSION-BASED COMPENSATION
40 HRS PER WEEK
2 - WEALTH FINANCIAL SERVICES & TAX ADVISORY, LLC; CO-OWNER;
TAX PREPARATION FOR VARIOUS INDIVIDUALS AND ENTITIES; HOURS VARY FROM EXTENSIVE DURING TAX SEASON TO VERY LITTLE OTHER TIMES OF YEAR.
CRS (Client Relationship Summary) - RIA
Click below to view Peter James Conway'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
June 19, 2017 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 1130 W Lake Cook Rd, #230, Buffalo Grove, IL 60089RIA
CRD#: 141413
Buffalo Grove, IL
Past
August 13, 2014 - June 23, 2017
SGL FINANCIAL, LLC
RIA
CRD#: 158023
BUFFALO GROVE, IL
Past
April 27, 2011 - September 17, 2014
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
BUFFALO, IL
Past
July 23, 2008 - February 9, 2009
SYNERGY INVESTMENT GROUP, LLC
RIA
CRD#: 46035
CRYSTAL LAKE, IL
Past
July 23, 2008 - December 21, 2010
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
CRYSTAL LAKE, IL
Past
October 22, 2007 - October 21, 2010
AMERICAN INVESTMENT SERVICES
RIA
CRD#: 144088
CRYSTAL LAKE, IL
Past
March 9, 2007 - September 19, 2007
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ROLLING MEADOWS, IL
Past
November 4, 2005 - September 19, 2007
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ROLLING MEADOWS, IL
Past
August 20, 2001 - November 17, 2005
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHICAGO, IL
Past
July 12, 1999 - November 17, 2005
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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(6/19/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
