Robert Cruces

BROOKSTONE WEALTH ADVISORS

New York, NY

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CRD#: 2641065

Professional summary

Robert Cruces, who also goes by Bob Cruces, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in New York, New York.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Robert has worked at 13 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Cruces

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.

1) Standard Capital Financial; Investment-related; 100 West 57th St., Suite 18I, New York, NY 10019; Insurance sales; Agent; 10/2014; Approx. 40 hours/month; Approx. 20 hours/month during trading hours; Sales of life and health insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Cruces's CRS (Customer Relationship Summary).

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 10, 2023 - Present

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

New York, NY

Past

November 2, 2021 - January 23, 2023

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

New York, NY

Past

July 27, 2020 - October 5, 2021

SIMPLICITY WEALTH

RIA

CRD#: 300572

New York, NY

Past

August 31, 2017 - August 27, 2020

ROYAL FUND MANAGEMENT, LLC

RIA

CRD#: 144434

Hackensack, NJ

Past

May 13, 2016 - May 19, 2016

SGL FINANCIAL, LLC

RIA

CRD#: 158023

Hoboken, NJ

Past

November 11, 2005 - May 3, 2006

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

Past

July 5, 2001 - June 16, 2003

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

January 25, 2000 - January 30, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 11, 1998 - November 24, 1998

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

August 4, 1998 - September 10, 1998

PACIFIC CONTINENTAL SECURITIES CORPORATION

CRD#: 2398

BEVERLY HILLS, CA

Past

March 11, 1998 - May 1, 1998

ON-SITE TRADING, INC.

CRD#: 30271

GREAT NECK, NY

Past

July 1, 1997 - January 22, 1998

DUKE & CO., INC.

CRD#: 8035

NEW YORK, NY

Past

April 30, 1997 - May 22, 1997

DUKE & CO., INC.

CRD#: 8035

NEW YORK, NY

Past

February 13, 1997 - May 19, 1997

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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 York
(1/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/15/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/12/1997

General Securities Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Robert Cruces

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Cruces's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT ADVISORS, LLC

SIMPLICITY WEALTH

ROYAL FUND MANAGEMENT, LLC

SGL FINANCIAL, LLC

AURA FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

MORGAN STANLEY DW INC.

CHATFIELD DEAN & CO., INC.

PACIFIC CONTINENTAL SECURITIES CORPORATION

ON-SITE TRADING, INC.

DUKE & CO., INC.

DUKE & CO., INC.

ROYCE INVESTMENT GROUP, INC.

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/15/2015

Series 63

Date: 6/7/1996

Series 7

Date: 2/12/1997

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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