JW
James P. Winther
BROOKSTONE CAPITAL MANAGEMENT LLC
Waxhaw, NC
Some features on this profile are disabled
CRD#: 3188240
JW
Professional summary
James Phillip Winther, who also goes by J Phillip Winter, Phillip Winther, P Winther, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Waxhaw, North Carolina and BROOKSTONE WEALTH ADVISORS, LLC located in Waxhaw, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. James has worked at 13 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J Phillip Winter | Phillip Winther | P Winther
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) WINTHER ASSET MANAGEMENT, 1505 ASHBURN RIDGE DRIVE, WAXHAW, NC. 28173, INSURANCE, INVESTMENT RELATED, AGENT, OFFERS ACCIDENT AND HEALTH INSURANCE, INDEXED ANNUITIES, FIXED ANNUITIES, TRADITIONAL LIFE INSURANCE, STARTED 02/2010 WORKING 20 HPM ALL DURING TRADING HOURS. 2)Atlas NexGen Group, Investment related OBA, 730 Peachtree St, NE, Atlanta, GA 30308, Creating residential housing for low income residents through impact investing in local communities. For example, creating a build out of 240 units in Atlanta and offering tax credits to investors since this development is for low income residents. Title: CEO; Marketing and syndicating these investments through a Fund of Funds that can be offered on Broker Dealer platforms.; Approx. NO of Hrs/Month: 20 Hrs; Hrs During Trading Hrs in a month: ZERO. 3. James Phillip Winther; Yes, investment related; Address: 1505 Ashburn Ridge Drive, Waxhaw, NC, 28173; Nature: I hold my series 65 with Brookstone Capital Management; Posn/Title: Advisor; Start Date: 09/17/21; Approx No of Hrs/Mth towards OBA: 15 Hrs; Approx Hrs/Mth during trading Hrs: 15 Hrs; Duties: Provide fee based advisory services.
CRS (Client Relationship Summary) - RIA
Click below to view James Phillip Winther'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
October 4, 2021 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Waxhaw, NC
Current
October 4, 2021 - Present
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
Waxhaw, NC
Past
September 8, 2023 - April 7, 2025
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
SCHAUMBURG, IL
Past
May 3, 2021 - September 10, 2021
IBN FINANCIAL SERVICES, INC.
BD
CRD#: 42360
LIVERPOOL, NY
Past
June 19, 2018 - July 8, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
WAXHAW, NC
Past
June 19, 2018 - July 8, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
WAXHAW, NC
Past
December 22, 2014 - June 20, 2018
OSAIC FA, INC.
RIA
CRD#: 3978
CHARLOTTE, NC
Past
December 19, 2014 - June 20, 2018
OSAIC FA, INC.
BD
CRD#: 3978
CHARLOTTE, NC
Past
November 8, 2011 - December 22, 2014
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
WILMINGTON, DE
Past
February 26, 2010 - December 22, 2014
REALTA EQUITIES, INC.
BD
CRD#: 23769
WAXHAW, NC
Past
October 13, 2008 - March 12, 2009
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
CHARLOTTE, NC
Past
July 16, 2008 - March 12, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHARLOTTE, NC
Past
October 25, 2006 - June 16, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
MALVERN, PA
Past
May 7, 2003 - July 21, 2005
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
January 2, 2003 - April 29, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 20, 2002 - April 29, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FOLSOM, PA
Past
March 15, 1999 - June 14, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(10/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
