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JH

James A. Hall

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CRD#: 2250942
JH

Professional summary

James Allen Hall was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, James had worked at 6 firms, which includes BROOKSTONE SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, LPL FINANCIAL LLC, A. G. EDWARDS & SONS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James A Hall

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 7, 2007 - February 24, 2012

BROOKSTONE SECURITIES, INC.

RIA
CRD#: 13366
ORLANDO, FL
Past

December 11, 2006 - February 24, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
ORLANDO, FL
Past

April 7, 2004 - March 14, 2006

BROOKSTREET SECURITIES CORPORATION

RIA
CRD#: 14667
OCALA, FL
Past

March 25, 2004 - March 14, 2006

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
OCALA, FL
Past

May 8, 2002 - April 2, 2004

LPL FINANCIAL LLC

RIA
CRD#: 6413
OVERLAND PARK, KS
Past

May 3, 2002 - April 2, 2004

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

September 22, 1998 - May 13, 2002

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
OVERLAND PARK, KS
Past

May 29, 1998 - May 13, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

February 1, 1993 - June 5, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 20, 1992 - December 4, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/13/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/2002
General Securities Principal Examination

Current Firm

BS
BROOKSTONE SECURITIES, INC.
BROOKSTONE INVESTMENT ADVISORY SERVICES | RISE, INC. | RESOURCE-REALTY INVESTMENT SECURITIES ENTERPRISES, INC. | BROOKSTONE SECURITIES, INC.

CRD#: 13366 / SEC#: 801-67061, 8-29116

BD
Terminated by SEC on 08/19/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/14/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 APRIL 25, 2012 (4/27/2012)

Direct owners and executive officers

NamePositionCRD#
BROOKSTONE CAPITAL MANAGEMENT, LLC.PARENT COMPANY
LOCY, DAVID WILLIAMDIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER4682865

Disclosures

Regulatory Event10
Arbitration6

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 SECURITIES, INC.

CRD#: 13366

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