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Douglas J. Costabile

Some features on this profile are disabled
CRD#: 2581223
DC

Professional summary

Douglas John Costabile was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Douglas is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Douglas had worked at 8 firms, which includes BROOKSTONE SECURITIES INC., FIRST MIDWEST SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, AMERICAN CAPITAL PARTNERS LLC, JOSEPH STEVENS & CO. INC., SALOMON GREY FINANCIAL CORPORATION, SHARPE CAPITAL INC., LADENBURG CAPITAL MANAGEMENT INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas J Costable

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 4, 2009 - August 21, 2009

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
MELVILLE, NY
Past

July 5, 2007 - April 1, 2009

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
MELVILLE, NY
Past

February 26, 2007 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
MELVILLE, NY
Past

February 27, 2006 - March 23, 2007

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
HAUPPAUGE, NY
Past

January 3, 2001 - March 3, 2006

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
MELVILLE, NY
Past

November 20, 2000 - December 6, 2000

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

June 5, 1999 - October 27, 2000

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

August 6, 1996 - May 12, 1999

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/5/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/1999
General Securities Principal Examination

Current Firm

BS
BROOKSTONE SECURITIES, INC.
BROOKSTONE INVESTMENT ADVISORY SERVICES | RISE, INC. | RESOURCE-REALTY INVESTMENT SECURITIES ENTERPRISES, INC. | BROOKSTONE SECURITIES, INC.

CRD#: 13366 / SEC#: 801-67061, 8-29116

BD
Terminated by SEC on 08/19/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/14/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 APRIL 25, 2012 (4/27/2012)

Direct owners and executive officers

NamePositionCRD#
BROOKSTONE CAPITAL MANAGEMENT, LLC.PARENT COMPANY
LOCY, DAVID WILLIAMDIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER4682865

Disclosures

Regulatory Event10
Arbitration6

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.

Company Information

BROOKSTONE SECURITIES, INC.

CRD#: 13366

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