Joshua B. Lowy

Some features on this profile are disabled

CRD#: 3220146

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.

Joshua Bernard Lowy, who also goes by Joshua B Lowy, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 1999. Joshua had worked at 8 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joshua B Lowy

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 16, 2020 - October 4, 2021

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Austin, TX

Past

October 21, 2019 - November 20, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

AUSTIN, TX

Past

October 21, 2019 - November 20, 2020

LPL FINANCIAL LLC

CRD#: 6413

AUSTIN, TX

Past

August 24, 2017 - October 23, 2019

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Austin, TX

Past

August 24, 2017 - October 23, 2019

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Austin, TX

Past

April 19, 2017 - August 16, 2017

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

AUSTIN, TX

Past

March 9, 2017 - August 16, 2017

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

Austin, TX

Past

January 28, 2017 - March 10, 2017

COYLE CAPITAL, LLC

RIA

CRD#: 173822

AUSTIN, TX

Past

May 6, 2008 - October 27, 2016

YALE CAPITAL CORP.

RIA

CRD#: 126992

DORADO, PR

Past

June 7, 1999 - September 13, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TAMPA, FL

Past

June 2, 1999 - September 13, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/6/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/5/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/21/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2017

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 5/28/2004

Futures Managed Funds Examination

Current Firm

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A, APPENDIX 1 - WRAP BROCHURE (7/30/2025)

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (7/30/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua B. Lowy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

SWBC INVESTMENT SERVICES, LLC

SWBC INVESTMENT COMPANY

COYLE CAPITAL, LLC

YALE CAPITAL CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BROOKSTONE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/2017

Series 65

Date: 5/5/2008

Series 66

Date: 6/21/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/19/2017

Series 31

Date: 5/28/2004

Current Firm

BROOKSTONE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKSTONE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors