KM
Kevin C. Mccarthy
BROOKSTONE CAPITAL MANAGEMENT LLC
Ormond Beach, FL 32174
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CRD#: 4191013
KM
Professional summary
Kevin Charles Mccarthy is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Ormond Beach, Florida.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Kevin has worked at 4 firms and has passed the Series 63, Series 65, Series 7 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.
11/2013 SEASONAL TAX RETURN PREPARATION SERVICES APPROX 6 HOURS PER MONTH. NON-INVESTMENT RELATED. 01/2002 OWNER MCCARTHY INSURANCE AND FINANCIAL SERVICES INC DBA SAFE HARBOR FINANCIAL ADVISERS. SALES OF LIFE/HEALTH INSURANCE AND ANNUITIES. 50% OF TIME. NON INVESTMENT RELATED. FROM 1162 PELICAN BAY DRIVE, DAYTONA BEACH FL 32119.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Charles Mccarthy'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
March 6, 2013 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 1452 N. Us Hwy 1 Suite 131, Ormond Beach, FL 32174RIA
CRD#: 141413
Ormond Beach, FL
Past
May 26, 2010 - December 31, 2012
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
DAYTONA BEACH, FL
Past
April 30, 2010 - December 31, 2012
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
DAYTONA BEACH, FL
Past
July 26, 2007 - May 4, 2010
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
DAYTONA BEACH, FL
Past
May 30, 2003 - May 4, 2010
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
DAYTONA BEACH, FL
Past
June 7, 2000 - May 17, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Florida(3/6/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
