CD
Craig E. Daves
BROOKSTONE CAPITAL MANAGEMENT LLC
DURHAM, NC
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CRD#: 3163984
CD
Professional summary
Craig Ellis Daves is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Durham, North Carolina.
Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Craig has worked at 6 firms and has passed the Series 66 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
DIAMOND ADVISOR GROUP (FKA - THE DIAMOND GROUP) 526 WANDA RIDGE DRIVE, 160HRS. MONTH - INSURANCE SERVICES, LEGACY ESTATE SERVICES, 526 WANDA RIDGE DRIVE DURHAM, NC 27712, THIRD PARTY SOLICITOR PROVIDE INFO CONCERNING PREPARED ESTATE LEGAL SERVICES WITH RELATION TO FINANCIAL PLANNING. NOTARY SERVICES FOR LEGAL DOCUMENT COMPLETION, Forvis Mazars, LLP - 1829 Eastcheaster Drive, High Point, NC 27265. Near Associate, Accounting and Auditing. 160-220 hrs a year. Non Investment Related.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Ellis Daves'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
January 5, 2015 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
DURHAM, NC
Past
September 29, 2010 - December 31, 2013
DIAMOND ADVISORY, LLC
RIA
CRD#: 152349
DURHAM, NC
Past
June 25, 2007 - October 20, 2009
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
DURHAM, NC
Past
June 25, 2007 - October 20, 2009
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
DURHAM, NC
Past
August 17, 2004 - May 30, 2007
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
THOMASVILLE, NC
Past
July 8, 2004 - May 30, 2007
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
December 31, 2001 - June 15, 2004
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
THOMASVILLE, NC
Past
January 27, 1999 - June 15, 2004
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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
North Carolina(1/5/2015)
Exams
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
