Osi T. Isaacs
Professional summary
Osi Trevor Isaacs was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Osi is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Osi had worked at 12 firms, which includes BROOKSTONE SECURITIES INC., REID & RUDIGER LLC, THE ROCKWELL FINANCIAL GROUP INC., GRANTA CAPITAL GROUP LLC, ANDREW GARRETT INC., S.W. BACH & COMPANY, INVESTORS CAPITAL CORP., GUNNALLEN FINANCIAL INC, NEW YORK GLOBAL SECURITIES INC., J.P. TURNER & COMPANY L.L.C., FIRST LIBERTY INVESTMENT GROUP INC., FAIRCHILD FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2011 - October 28, 2011
BROOKSTONE SECURITIES, INC.
October 27, 2010 - February 1, 2011
REID & RUDIGER LLC
April 21, 2010 - July 1, 2010
THE ROCKWELL FINANCIAL GROUP, INC.
November 13, 2008 - January 2, 2009
GRANTA CAPITAL GROUP LLC
February 28, 2007 - July 31, 2008
ANDREW GARRETT INC.
June 23, 2005 - March 1, 2007
S.W. BACH & COMPANY
April 21, 2004 - June 14, 2005
INVESTORS CAPITAL CORP.
August 8, 2003 - October 1, 2003
GUNNALLEN FINANCIAL, INC
May 21, 2003 - June 17, 2003
NEW YORK GLOBAL SECURITIES, INC.
August 9, 2002 - October 9, 2002
J.P. TURNER & COMPANY, L.L.C.
September 3, 1998 - June 21, 2002
S.W. BACH & COMPANY
May 7, 1998 - February 3, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
March 4, 1997 - March 27, 1998
FAIRCHILD FINANCIAL GROUP, INC.
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
Series 62
Date: 3/3/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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