DS
Daniel T. Scalzi
BROOKSTONE CAPITAL MANAGEMENT LLC
Danbury, CT
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CRD#: 411967
DS
Professional summary
Daniel Thomas Scalzi is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Danbury, Connecticut.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Daniel has worked at 19 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 87, Series 86, Series 5, Series 15, Series 3, Series 1, Series 53, Series 4, Series 24, Series 8 and Series 12 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.
JD Mellberg FiNancial, Retirement Income Planning, 3067 W Ina Rd,Suite 105, Tucson, AZ 85741, Insurance, Investment Advisor, Start date:5/17/2021, 120 hours p/m, 5 hours a day during the trading day, Retirement Income Sales.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Thomas Scalzi'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
June 2, 2021 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Danbury, CT
Past
July 7, 2015 - May 13, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NEW YORK, NY
Past
July 7, 2015 - May 13, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
September 12, 2014 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
NEW YORK, NY
Past
September 12, 2014 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
NEW YORK, NY
Past
January 24, 2011 - September 16, 2014
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
STAMFORD, CT
Past
January 14, 2011 - September 16, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
STAMFORD, CT
Past
January 3, 2011 - January 19, 2011
OSAIC FS, INC.
RIA
CRD#: 3870
SOUTHPORT, CT
Past
May 15, 2009 - January 19, 2011
OSAIC FS, INC.
BD
CRD#: 3870
SOUTHPORT, CT
Past
July 1, 2008 - December 31, 2010
U.S. FINANCIAL ADVISORS
RIA
CRD#: 108763
SOUTHPORT, CT
Past
July 1, 2008 - May 21, 2009
U.S. WEALTH ADVISORS, LLC.
BD
CRD#: 126924
SOUTHPORT, CT
Past
August 7, 2006 - September 12, 2008
MATRIX INVESTMENT RESEARCH LLC
RIA
CRD#: 136048
NEW YORK, NY
Past
June 19, 2003 - March 4, 2008
MATRIX U.S.A., LLC
BD
CRD#: 38057
NEW YORK, NY
Past
March 9, 1999 - April 11, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 24, 1998 - February 4, 1999
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
September 17, 1996 - June 26, 1998
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
December 11, 1995 - August 29, 1996
AUERBACH, POLLAK & RICHARDSON INC.
BD
CRD#: 29824
STAMFORD, CT
Past
June 20, 1989 - November 28, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 3, 1985 - May 20, 1989
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
September 12, 1980 - September 9, 1985
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
October 10, 1979 - October 11, 1980
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
April 21, 1978 - April 29, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
Past
September 10, 1974 - May 3, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Connecticut(6/2/2021)
IAR
Delaware(6/4/2021)
IAR
New York(6/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/14/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 11/17/1982
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/26/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/24/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
RR
Series 12
Date: 4/11/1981
NYSE Branch Manager ExaminationCurrent 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.
