TH
Thomas B. Hayes
BROOKSTONE CAPITAL MANAGEMENT LLC
KOKOMO, IN 46902
Some features on this profile are disabled
CRD#: 2515869
TH
Professional summary
Thomas Brian Hayes, who also goes by Brian Hayes, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Kokomo, Indiana and MILESTONE ASSET MANAGEMENT, LLC located in Kokomo, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Hayes
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.
HAYES ADVISORY GROUP 1825 DOGWOOD COURT KOKOMO, IN 46902 - 08/2002 INVESTMENT RELATED - PROVIDES INSURANCE SALES AND ADVICE 80 HOURS PER WEEK DURING TRADING HOURS. SINCE 2008, MR. HAYES HAS BEEN AN IAR OF MILESTONE ASSET MANAGEMENT, A REGISTERED INVESTMENT ADVISER HE SPENDS APPROXIMATELY 25% OF HIS TIME SERVICING CLIENTS OF BROOKSTONE. SINCE 2021, MR. HAYES HAS BEEN AN IAR OF BROOKSTONE CAPITAL MANAGEMENT, A REGISTERED INVESTMENT ADVISER HE SPENDS APPROXIMATELY 25% OF HIS TIME SERVICING CLIENTS OF BROOKSTONE. PREPARE INSTITUTE - NON INVESTMENT RELATED BOARD MEMBER OF NON PROFIT 1825 DOGWOOD COURT KOKOMO IN 46902 03/08/2018 - TEACHES RETIREMENT CLASSES 20 HOURS / 20 HOURS DURING MARKET HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Brian Hayes'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
January 14, 2008 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 1825 Dogwood Court, Kokomo, IN 46902RIA
CRD#: 141413
KOKOMO, IN
Current
April 16, 2021 - Present
MILESTONE ASSET MANAGEMENT, LLC
Office #1: 1825 Dogwood Court, Kokomo, IN 46902RIA
CRD#: 310441
Kokomo, IN
Past
March 17, 2021 - April 14, 2021
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
Kokomo, IN
Past
December 4, 2020 - February 11, 2021
MILESTONE ASSET MANAGEMENT, LLC
RIA
CRD#: 310441
Kokomo, IN
Past
July 24, 2000 - June 26, 2002
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
August 10, 1994 - September 25, 1998
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 10, 1994 - September 25, 1998
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Indiana(1/14/2008)
IAR
Pennsylvania(4/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
