RB
Richard T. Baker
BROOKSTONE CAPITAL MANAGEMENT LLC
Germantown, MD 20874
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CRD#: 3239108
RB
Professional summary
Richard Todd Baker is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Germantown, Maryland and MILESTONE ASSET MANAGEMENT, LLC located in Germantown, Maryland.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Richard has worked at 10 firms and has passed the Series 65, 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.
LEGACY CAPITAL PLANNERS, LLC -JULY 2006. INVESTMENT RELATED - TAX PLANNING SERVICES SEASONAL JANUARY THROUGH APRIL 10 HOURS PER SEASONAL MONTHS. LEGACY CAPITAL PLANNERS, LLC WORKS WITH INVESTMENTS AND INSURANCE PRODUCTS. 80 HOURS PER WEEK Since 2008, Mr. Baker has been an IAR of Brookstone Capital Management, a registered investment adviser he spends approximately 25% of his time servicing clients of Brookstone. Dually registered as a Registered Investment Advisor with Milestone Asset Management. JMT Properties II. REAL ESTATE INVESTMENT LLC PURCHASES MULTI FAMILY BUILDINGS Prepare Institute BOARD MEMBER of Non-Profit 174 South Naperville Road, Suite 200 Wheaton IL 60189 1/9/2017 20 Hours per month, 4 Hours during Trading
CRS (Client Relationship Summary) - RIA
Click below to view Richard Todd Baker'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
February 27, 2008 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 20251 Century Blvd., Ste. 425, Germantown, MD 20874RIA
CRD#: 141413
Germantown, MD
Current
April 16, 2021 - Present
MILESTONE ASSET MANAGEMENT, LLC
Office #1: 20251 Century Blvd. Suite 425, Germantown, MD 20874RIA
CRD#: 310441
Germantown, MD
Past
March 16, 2021 - April 14, 2021
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
Germantown, MD
Past
October 20, 2020 - February 11, 2021
MILESTONE ASSET MANAGEMENT, LLC
RIA
CRD#: 310441
Germantown, MD
Past
March 14, 2012 - January 2, 2013
ALPHASTAR CAPITAL MANAGEMENT
RIA
CRD#: 157423
ROCKVILLE, MD
Past
December 10, 2009 - April 21, 2010
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
NASHVILLE, TN
Past
February 10, 2005 - November 29, 2007
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
July 15, 2004 - November 16, 2004
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
January 8, 2004 - July 16, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 8, 2004 - July 16, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 27, 2001 - January 16, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
September 30, 1999 - July 10, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Maryland(2/27/2008)
IAR
Pennsylvania(4/16/2021)
IAR
Texas(4/10/2017)
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
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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
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.
Company Information
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413Germantown, MD 20874TRUST BUT VERIFY
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