Micheal D. Munson
Professional summary
Micheal Dean Munson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Micheal is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Micheal had worked at 5 firms, which includes BROOKSTONE SECURITIES INC., FIRST MIDWEST SECURITIES INC., HIMCO DISTRIBUTION SERVICES COMPANY, A. G. EDWARDS & SONS INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2010 - July 14, 2011
BROOKSTONE SECURITIES, INC.
November 20, 2009 - November 20, 2009
BROOKSTONE SECURITIES, INC.
November 27, 2006 - July 14, 2011
BROOKSTONE SECURITIES, INC.
October 4, 2006 - November 21, 2006
FIRST MIDWEST SECURITIES, INC.
March 19, 2002 - November 21, 2006
FIRST MIDWEST SECURITIES, INC.
February 7, 2002 - March 21, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
November 8, 2000 - November 20, 2001
A. G. EDWARDS & SONS, INC.
July 27, 1993 - November 3, 2000
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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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
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