Herbert R. Moffett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Herbert Ray Moffett SR, who also goes by Herbert Ray Moffet Sr, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1998. Herbert had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2019 - July 7, 2020
BROOKSTONE CAPITAL MANAGEMENT LLC
March 25, 2017 - March 25, 2019
MML INVESTORS SERVICES, LLC
March 25, 2017 - March 25, 2019
MML INVESTORS SERVICES, LLC
October 26, 2004 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 1, 1998 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 1, 1998 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
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
Current Firm
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
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.
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