James E. Seagrave

Some features on this profile are disabled

CRD#: 417512

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.

James Edward Seagrave, who also goes by Jim Seagrave, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1973. James had worked at 17 firms and has passed the Series 66, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Seagrave

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.

1972-Present: Insurance Agent/Insurance Related/Meriden, CT/Independent Insurance Agent/Offer insurance products and services via unaffiliated issuers./Involves up to25% time each month, including during traditional business hours.// 2019-Present: President of the Effective Management Association of Connecticut. 4-6 Hours Not investment related.

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

April 9, 2024 - June 11, 2024

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Meriden, CT

Past

September 23, 2022 - April 13, 2023

JIM SEAGRAVE & ASSOCIATES, LLC

RIA

CRD#: 323217

MIDDLEFIELD, CT

Past

April 8, 2020 - July 31, 2020

CGN ADVISORS, LLC

RIA

CRD#: 159359

Cromwell, CT

Past

September 23, 2010 - April 7, 2020

JIM SEAGRAVE & ASSOCIATES, LLC

RIA

CRD#: 139644

MIDDLEFIELD, CT

Past

March 17, 2009 - August 6, 2010

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

MIDDLEFIELD, CT

Past

March 17, 2009 - September 22, 2010

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

MIDDLEFIELD, CT

Past

April 7, 2006 - April 15, 2009

JIM SEAGRAVE & ASSOCIATES, LLC

RIA

CRD#: 139644

MIDDLEFIELD, CT

Past

February 20, 2002 - April 7, 2006

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

MIDDLETOWN, CT

Past

December 10, 2001 - March 17, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

MIDDLETOWN, CT

Past

September 24, 1997 - February 20, 2002

MARK SECURITIES, INC.

CRD#: 555

PELHAM MANOR, NY

Past

February 21, 1995 - January 4, 1996

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

March 9, 1993 - January 7, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 15, 1992 - March 4, 1993

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

April 15, 1992 - August 20, 1992

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

Past

March 28, 1991 - May 6, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

March 28, 1991 - May 6, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

March 7, 1990 - December 18, 1990

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

November 1, 1985 - October 28, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 3, 1981 - November 1, 1985

OSAIC FS, INC.

CRD#: 3870

Past

March 20, 1975 - July 29, 1979

MARK SECURITIES, INC.

CRD#: 555

Past

July 1, 1974 - June 27, 1975

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

Past

July 26, 1973 - April 22, 1974

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

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 WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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

IAR

Series 66

Date: 8/12/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 1

Date: 7/19/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/1987

General Securities Principal Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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 Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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

James E. Seagrave

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JIM SEAGRAVE & ASSOCIATES, LLC

CGN ADVISORS, LLC

JIM SEAGRAVE & ASSOCIATES, LLC

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

JIM SEAGRAVE & ASSOCIATES, LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

MARK SECURITIES, INC.

POLARIS FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

ROBERT THOMAS SECURITIES, INC

INTESA SANPAOLO IMI SECURITIES CORP.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

MAIN STREET MANAGEMENT COMPANY

INVEST FINANCIAL CORPORATION

OSAIC FS, INC.

MARK SECURITIES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/12/1999

Series 1

Date: 7/19/1973

Series 24

Date: 1/27/1987

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors