CM
Carla J. Merlak
BROOKSTONE CAPITAL MANAGEMENT LLC
ELMHURST, IL 60126
Some features on this profile are disabled
CRD#: 2952938
CM
Professional summary
Carla Jean Merlak, who also goes by Carla Jean Nass, Carla Jean Osoria, Carla Jean Pollak, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Elmhurst, Illinois.
Carla is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Carla has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carla Jean Nass | Carla Jean Osoria | Carla Jean Pollak
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. MERLAK TAX ADVISORY GROUP, 579 W NORTH AVENUE STE 200 ELMHURST IL 60126. START DATE 1-1-2009 WORK ON TAX PREPARATION, TAX PLANNING, BILL PAYMENTS, OFFICE MGMT AND PAYROLL 30% OF MY INCOME 120 HOURS PER MONTH. I AM ALSO AN INDEPENDENT INSURANCE AGENT THRU THIS ORGANIZATION. 2. Tranont, Selling of natural wellness product. 3. Next Phase Financial LLC- advises in financial and retirement planning
CRS (Client Relationship Summary) - RIA
Click below to view Carla Jean Merlak'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 13, 2016 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 579 W. North Ave., Ste 205, Elmhurst, IL 60126Office #2: 8411 Pyott Road, Suite 107, Lake In The Hills, IL 60156RIA
CRD#: 141413
ELMHURST, IL
Past
March 4, 2013 - July 10, 2014
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
ELMHURST, IL
Past
August 1, 2008 - June 20, 2011
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
ELMHURST, IL
Past
October 27, 2006 - June 20, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
ELMHURST, IL
Past
April 12, 2002 - February 8, 2006
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
October 17, 1997 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
Illinois(6/13/2016)
IAR
Texas(6/22/2017)
Exams
State Security Law Exam
State Security Law 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.
