Bender W. Mackey
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.
Bender Wallace Mackey, who also goes by Wally Mackey, was a registered financial professional .
Bender is a previously registered financial professional and started their career in finance in 1993. Bender had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2008 - November 17, 2008
BROOKSTONE SECURITIES, INC.
July 2, 2004 - December 3, 2007
CONTEMPORARY FINANCIAL SOLUTIONS, INC.
May 31, 2001 - August 5, 2002
USALLIANZ SECURITIES, INC.
February 17, 2000 - May 9, 2001
LOCUST STREET SECURITIES, INC.
April 30, 1996 - May 27, 1998
NATIONAL PLANNING CORPORATION
January 7, 1995 - October 17, 1995
CAPITAL SECURITIES INVESTMENT CORPORATION
November 23, 1993 - January 12, 1995
NATIONAL PLANNING CORPORATION
March 19, 1993 - May 18, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 19, 1993 - May 18, 1993
OSAIC FA, INC.
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
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
