Philip Akel
Professional summary
Philip Akel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Philip had worked at 5 firms, which includes BROOKSTONE SECURITIES INC., GRANTA CAPITAL GROUP LLC, THE THORNWATER COMPANY L.P., GKN SECURITIES CORP., AMERICORP SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2008 - March 28, 2008
BROOKSTONE SECURITIES, INC.
November 18, 2002 - November 27, 2006
GRANTA CAPITAL GROUP LLC
September 20, 2000 - November 25, 2002
THE THORNWATER COMPANY, L.P.
February 21, 1997 - September 19, 2000
GKN SECURITIES CORP.
June 12, 1996 - February 28, 1997
AMERICORP SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current 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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