Shelton Liou
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shelton Liou, who also goes by Shelton Aubrit Liou, was a registered financial professional .
Shelton is a previously registered financial professional and started their career in finance in 1992. Shelton had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2019 - July 29, 2020
BROOKSTONE CAPITAL MANAGEMENT LLC
October 1, 2012 - April 3, 2018
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 3, 2018
J.P. MORGAN SECURITIES LLC
September 5, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 5, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 27, 2005 - September 7, 2007
MSI FINANCIAL SERVICES, INC.
December 3, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 3, 2003 - September 7, 2007
MSI FINANCIAL SERVICES, INC.
July 24, 2003 - November 5, 2003
1717 CAPITAL MANAGEMENT COMPANY
March 3, 2003 - July 21, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
October 23, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
January 20, 1997 - April 12, 2000
JEFFERIES LLC
December 22, 1994 - January 21, 1997
A.B. WATLEY, INC.
February 16, 1994 - January 7, 1995
KERN, SUSLOW SECURITIES, INC.
August 27, 1992 - September 21, 1993
SUPPES SECURITIES, INC.
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/21/2002
Limited Representative-Equity Trader ExamCurrent Firm
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
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.
