DG
Daniel J. Gunderson
BROOKSTONE CAPITAL MANAGEMENT LLC
Keller, TX
Some features on this profile are disabled
CRD#: 2672397
DG
Professional summary
Daniel James Gunderson, who also goes by Daniel Gunderson, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Keller, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Gunderson
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.
J.D. Mellberg Financial (investment related - insurance sales)
3067 W. Ina Rd. Tucson, AZ 85741
Insurance Sales - Financial Professional
Start: June 2019, 40-50 hrs/wk.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Gunderson'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
June 22, 2020 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Keller, TX
Past
May 24, 2016 - July 3, 2019
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
Keller, TX
Past
April 29, 2016 - May 9, 2016
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
Keller, TX
Past
April 29, 2016 - July 3, 2019
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
Keller, TX
Past
March 1, 2012 - May 13, 2016
MORGAN STANLEY
RIA
CRD#: 149777
SOUTHLAKE, TX
Past
March 1, 2012 - May 13, 2016
MORGAN STANLEY
BD
CRD#: 149777
SOUTHLAKE, TX
Past
August 25, 2006 - March 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SOUTHLAKE, TX
Past
August 25, 2006 - March 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SOUTHLAKE, TX
Past
November 15, 2002 - August 30, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
BEDFORD, TX
Past
December 18, 1995 - August 30, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BEDFORD, TX
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
Texas(6/30/2020)
IAR
Wisconsin(6/22/2020)
Exams
State Security Law Exam
State Security Law 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
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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.
