Charles Garofalo
BROOKSTONE CAPITAL MANAGEMENT | Financial Consultant
Bartonsville, PA 18321
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CRD#: 2520536
Professional summary
Charles Garofalo, who also goes by Charles V Garofalo, Charles VIncent Garofalo, Chuck Garofalo, Charles Garofalo, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Bartonsville, Pennsylvania.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Charles has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
As Financial Consultant I partner with my clients to help them work toward their financial goals and investment objective. My role as a Financial Consultant is to deliver tailored investment guidance giving our clients the confidence to work toward their own passions. My focus is on financial planning, retirement income, investments, protection and college savings. My goal is to partner with every client and develop a comprehensive wealth management strategy for years to come.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles V Garofalo | Charles Vincent Garofalo | Chuck Garofalo | Charles Garofalo
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.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Garofalo'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®
NoneEducation
Rutgers University
Bachelor of Science (BS) - Finance
1994
Experience
Current
December 11, 2025 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 3355 Route 611 Suite 5, Bartonsville, PA 18321RIA
CRD#: 141413
Bartonsville, PA
Past
July 21, 2025 - September 19, 2025
RONALD GELOK & ASSOCIATES, LLC
RIA
CRD#: 290950
Parsippany, NJ
Past
March 28, 2024 - April 3, 2025
EDWARD JONES
RIA
CRD#: 250
SUCCASUNNA, NJ
Past
March 28, 2024 - April 3, 2025
EDWARD JONES
BD
CRD#: 250
SUCCASUNNA, NJ
Past
September 15, 2022 - March 26, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MORRISTOWN, NJ
Past
August 25, 2022 - March 26, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MORRISTOWN, NJ
Past
March 4, 2021 - July 21, 2022
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
MORRISTOWN, NJ
Past
February 24, 2021 - July 21, 2022
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
MORRISTOWN, NJ
Past
December 12, 2018 - February 16, 2021
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
ROCKAWAY, NJ
Past
November 29, 2018 - February 16, 2021
SANTANDER SECURITIES LLC
BD
CRD#: 41791
ROCKAWAY, NJ
Past
April 21, 2015 - April 27, 2018
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
BOCA RATON, FL
Past
April 20, 2015 - April 27, 2018
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
BOCA RATON, FL
Past
June 1, 2009 - March 23, 2015
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
June 1, 2009 - March 23, 2015
MORGAN STANLEY
BD
CRD#: 149777
BOCA RATON, FL
Past
February 9, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FLORHAM PARK, NJ
Past
January 16, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FLORHAM PARK, NJ
Past
May 29, 1998 - December 1, 2006
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
NEW YORK, NY
Past
November 21, 1996 - March 12, 1997
A.S. GOLDMEN & CO., INC.
BD
CRD#: 23180
RED BANK, NJ
Past
March 25, 1996 - October 21, 1996
MEYERS POLLOCK ROBBINS, INC.
BD
CRD#: 13436
NEW YORK, NY
Past
November 23, 1994 - March 4, 1996
A.S. GOLDMEN & CO., INC.
BD
CRD#: 23180
RED BANK, NJ
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
New Jersey(12/11/2025)
IAR
Pennsylvania(12/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)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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Company Information
BROOKSTONE CAPITAL MANAGEMENT LLC
Financial ConsultantCRD#: 141413Bartonsville, PA 18321TRUST BUT VERIFY
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Contact information
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