CM
Carl M. Mook
BROOKSTONE CAPITAL MANAGEMENT LLC
Byron, IL
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CRD#: 2440514
CM
Professional summary
Carl Monroe Mook is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Byron, Illinois.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Carl has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CM FINANCIAL SERVICES, INC. CARL MOOK FINANCIAL GROUP. TEACHING CLASS AT ROCK VALLEY COLLEGE, ROCKFORD, IL
CRS (Client Relationship Summary) - RIA
Click below to view Carl Monroe Mook's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 18, 2014 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Byron, IL
Past
October 29, 2009 - July 14, 2014
SPC
RIA
CRD#: 110692
SYCAMORE, IL
Past
March 2, 2009 - July 14, 2014
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
SYCAMORE, IL
Past
June 27, 2006 - March 2, 2009
IPI WEALTH MANAGEMENT, INC.
RIA
CRD#: 111872
SYCAMORE, IL
Past
June 27, 2006 - March 2, 2009
INVESTMENT PLANNERS, INC.
BD
CRD#: 18557
SYCAMORE, IL
Past
October 1, 2002 - July 10, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
SYCAMORE, IL
Past
August 23, 2001 - July 10, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
SYCAMORE, IL
Past
May 2, 1994 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BC
BROOKSTONE CAPITAL MANAGEMENT LLC
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
CRD#: 141413 / SEC#: 801-68010
RIA
Registered Investment Advisory firm - (6/20/2007 Approved)Arizona
Registered Investment Advisory firm - (6/25/2007 Terminated)Arkansas
Registered Investment Advisory firm - (7/3/2007 Terminated)California
Registered Investment Advisory firm - (6/26/2007 Terminated)Illinois
Registered Investment Advisory firm - (6/20/2007 Terminated)Indiana
Registered Investment Advisory firm - (6/25/2007 Terminated)Nevada
Registered Investment Advisory firm - (7/19/2007 Terminated)Ohio
Registered Investment Advisory firm - (6/25/2007 Terminated)Oklahoma
Registered Investment Advisory firm - (6/20/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Tennessee
Registered Investment Advisory firm - (7/25/2007 Terminated)Texas
Registered Investment Advisory firm - (6/25/2007 Terminated)Virginia
Registered Investment Advisory firm - (7/6/2007 Terminated)Washington
Registered Investment Advisory firm - (6/25/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (6/25/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(7/18/2014)
IAR
Wisconsin(7/21/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
BC
BROOKSTONE CAPITAL MANAGEMENT LLC
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
CRD#: 141413 / SEC#: 801-68010
RIA
Registered Investment Advisory firm - (6/20/2007 Approved)Arizona
Registered Investment Advisory firm - (6/25/2007 Terminated)Arkansas
Registered Investment Advisory firm - (7/3/2007 Terminated)California
Registered Investment Advisory firm - (6/26/2007 Terminated)Illinois
Registered Investment Advisory firm - (6/20/2007 Terminated)Indiana
Registered Investment Advisory firm - (6/25/2007 Terminated)Nevada
Registered Investment Advisory firm - (7/19/2007 Terminated)Ohio
Registered Investment Advisory firm - (6/25/2007 Terminated)Oklahoma
Registered Investment Advisory firm - (6/20/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Tennessee
Registered Investment Advisory firm - (7/25/2007 Terminated)Texas
Registered Investment Advisory firm - (6/25/2007 Terminated)Virginia
Registered Investment Advisory firm - (7/6/2007 Terminated)Washington
Registered Investment Advisory firm - (6/25/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (6/25/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1745 S. Naperville Road Suite 200, Wheaton, IL 60189
Mailing Address
Phone number
(630) 653-1400
Established
Firm type
Fiscal year end
# of Employees
395
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
