Alexi M. Bethel
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.
Alexi Manuel Bethel, who also goes by Ace Bethel Mr., Alex Bethel, was a registered financial professional .
Alexi is a previously registered financial professional and started their career in finance in 2000. Alexi had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2007 - January 23, 2009
BROOKSTONE SECURITIES, INC.
February 21, 2006 - July 11, 2006
JHS CAPITAL ADVISORS, LLC
July 20, 2005 - March 1, 2006
SALOMON GREY FINANCIAL CORPORATION
June 1, 2005 - June 23, 2005
ITRADEDIRECT.COM CORP
May 18, 2005 - June 8, 2005
VFINANCE INVESTMENTS, INC
October 15, 2004 - March 21, 2005
WESTPARK CAPITAL, INC.
May 20, 2004 - November 10, 2004
NORTH AMERICAN CLEARING, INC.
February 12, 2003 - May 28, 2004
LLOYD, SCOTT & VALENTI, LTD.
August 20, 2002 - February 10, 2003
CARDINAL CAPITAL MANAGEMENT, INC.
May 16, 2002 - July 31, 2002
PLATINUM INVESTMENT CORP.
February 21, 2002 - May 23, 2002
LH ROSS & COMPANY, INC.
September 6, 2001 - March 22, 2002
SALOMON GREY FINANCIAL CORPORATION
May 7, 2001 - August 23, 2001
EMERSON BENNETT & ASSOCIATES
February 12, 2001 - April 19, 2001
PRIME CHARTER LTD.
February 2, 2001 - March 2, 2001
CARDINAL CAPITAL MANAGEMENT, INC.
September 8, 2000 - March 1, 2001
R.K. GRACE & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
