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LB

Lester T. Brol

BROL CAPITAL MANAGEMENT
Hampton Cove, AL
Some features on this profile are disabled
CRD#: 2604513
LB

Professional summary

Lester Theodore Brol, who also goes by Les Brol, Lester Brol, is a registered financial advisor currently at BROL CAPITAL MANAGEMENT, LLC located in Hampton Cove, Alabama.

Lester is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Lester has worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Les Brol | Lester Brol

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.
INSTRUCTOR AT THE UNIVERSITY OF ALABAMA - HUNTSVILLE, TEACHING FINANCE. IT IS NOT INVESTMENT BUSINESS RELATED AND I WORK APPROX. 32 HOURS PER MONTH. I STARTED IN AUGUST OF 2010 AND WILL TEACH UNTIL MAY 2011. I SPEND A FEW HOUR PER WEEK TEACH DURING MARKET HOUR. IT DOES NOT INTERFERE WITH MY DUES AT BROL CAPITAL MANAGEMENT Also, provide expert witness analytic, consulting and testimony service in connection with trials, arbitrations and regulatory proceedings related to the securities and commodities industries. I provide tees services independently and through Thornapple Associates.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lester Theodore Brol'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®
None

Experience

Current

January 3, 2011 - Present

BROL CAPITAL MANAGEMENT, LLC

RIA
CRD#: 154196
Hampton Cove, AL
Past

January 11, 1999 - May 3, 2000

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

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
Alabama
(1/3/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/28/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/1999
General Securities Representative Examination

Current Firm

BC
BROL CAPITAL MANAGEMENT, LLC
BROL CAPITAL MANAGEMENT, LLC

CRD#: 154196 / SEC#:

Alabama
Registered Investment Advisory firm - (1/1/2011 Approved)
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Contact information

Main Address
Hampton Cove, AL
Mailing Address
Phone number
(256) 457-3990
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 3,051,586

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

BROL CAPITAL MANAGEMENT, LLC

CRD#: 154196Hampton Cove, AL

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