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CM

Chris Messalas

Some features on this profile are disabled
CRD#: 2276286
CM

Professional summary

Chris Messalas was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Chris is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Chris had worked at 9 firms, which includes BROOKSTONE SECURITIES INC., WILMINGTON CAPITAL SECURITIES LLC, CARLTON CAPITAL INC., PARK CAPITAL SECURITIES LLC, JOSEPH STEVENS & CO. INC., MAY DAVIS GROUP INC., H.J. MEYERS & CO. INC., FIRST UNITED EQUITIES CORPORATION, D. H. BLAIR & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

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.
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

January 7, 2009 - August 10, 2009

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
NEW YORK, NY
Past

October 31, 2008 - January 8, 2009

WILMINGTON CAPITAL SECURITIES, LLC

BD
CRD#: 133839
GARDEN CITY, NY
Past

January 2, 2004 - November 14, 2008

CARLTON CAPITAL INC.

BD
CRD#: 42533
NEW YORK, NY
Past

November 27, 2002 - January 2, 2004

PARK CAPITAL SECURITIES, LLC

BD
CRD#: 104206
NEW YORK, NY
Past

September 6, 2000 - November 26, 2002

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

October 21, 1998 - September 12, 2000

MAY, DAVIS GROUP INC.

BD
CRD#: 35622
NEW YORK, NY
Past

January 16, 1998 - October 5, 1998

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

October 9, 1996 - December 31, 1997

FIRST UNITED EQUITIES CORPORATION

BD
CRD#: 36398
NEW YORK, NY
Past

November 2, 1992 - October 17, 1996

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY

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
RR
Series 63
Date: 11/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/3/2007
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.

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Company Information

BROOKSTONE SECURITIES, INC.

CRD#: 13366

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