David Balmelli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Balmelli, who also goes by David William Balmelli, David William Balmelli, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2019 - November 20, 2020
BROOKSTONE CAPITAL MANAGEMENT LLC
May 3, 2019 - May 28, 2019
PRUCO SECURITIES, LLC.
February 5, 2019 - May 28, 2019
PRUCO SECURITIES, LLC.
March 25, 2017 - January 5, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - January 5, 2018
MML INVESTORS SERVICES, LLC
May 30, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
May 30, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
December 19, 2011 - June 9, 2014
UBS FINANCIAL SERVICES INC.
December 19, 2011 - June 9, 2014
UBS FINANCIAL SERVICES INC.
November 23, 2009 - September 30, 2011
VISION INVESTMENT SERVICES, INC.
May 20, 2009 - December 19, 2011
NORTHERN TRUST SECURITIES, INC.
May 18, 2009 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
January 18, 2007 - November 6, 2007
J.P. MORGAN SECURITIES INC.
January 18, 2007 - November 6, 2007
J.P. MORGAN SECURITIES INC.
March 17, 2006 - December 1, 2006
CHASE INVESTMENT SERVICES CORP.
March 10, 2006 - December 1, 2006
CHASE INVESTMENT SERVICES CORP.
June 29, 2004 - December 31, 2004
PMG SECURITIES CORPORATION
June 29, 2004 - February 18, 2005
PMG SECURITIES CORPORATION
September 29, 2003 - December 9, 2003
CHARLES SCHWAB & CO., INC.
September 29, 2003 - December 9, 2003
CHARLES SCHWAB & CO., INC.
March 25, 2003 - September 8, 2003
WADDELL & REED
March 25, 2003 - September 8, 2003
WADDELL & REED
November 15, 2002 - January 10, 2003
MORGAN STANLEY DW INC.
November 12, 2002 - January 10, 2003
MORGAN STANLEY DW INC.
March 28, 2001 - October 1, 2002
ALLSTATE FINANCIAL SERVICES, LLC
November 17, 1995 - January 29, 2001
BROWNCO, LLC
June 7, 1995 - November 8, 1995
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
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.
