RR
Robert O. Radford
BROOKSTONE CAPITAL MANAGEMENT LLC
Rancho Cucamonga, CA 91730
Some features on this profile are disabled
CRD#: 2654160
RR
Professional summary
Robert Owen Radford is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Rancho Cucamonga, California.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Robert has worked at 11 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.)LIBERTY TAX SERVICE, 9/2003 AS VICE PRESIDENT PROVIDING TAX PREPARATION. NIR - 4/WK - 1/TRADING. 2.CUCAMONGA RETIREMENT & TAX ADVISORS INC, 6/2008 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/MO - .5/TRADING. 3.CUCAMONGA RETIREMENT & TAX ADVISORS INC dba LIBERTY TAX SERVICE, , 9/2003 AS VICE PRESIDENT PROVIDING TAX PREPARATION. NIR - 4/WK - 1/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Owen Radford'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®
NoneExperience
Current
September 17, 2021 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 7890 Haven Ave. Ste 18, Rancho Cucamonga, CA 91730RIA
CRD#: 141413
Rancho Cucamonga, CA
Past
August 31, 2010 - September 17, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Rancho Cucamonga, CA
Past
August 26, 2010 - September 17, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
RANCHO CUCAMONGA, CA
Past
April 15, 2010 - July 16, 2010
LUCIA CAPITAL GROUP
RIA
CRD#: 152396
SAN DIEGO, CA
Past
January 21, 2010 - July 16, 2010
RAYMOND J. LUCIA COMPANIES, INC.
RIA
CRD#: 115670
SAN DIEGO, CA
Past
May 30, 2008 - August 30, 2010
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
ORANGE, CA
Past
January 1, 2007 - September 10, 2010
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
RANCHO CUCAMONGA, CA
Past
August 17, 2001 - January 1, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
RANCHO CUCAMONGA, CA
Past
September 20, 1996 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
RANCHO CUCAMONGA, CA
Past
November 1, 1995 - June 10, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
November 1, 1995 - June 10, 1997
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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
California(9/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 12/4/2022
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/4/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product 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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
