Samuel Cole
Professional summary
Samuel Cole was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel Cole was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2000. Samuel had worked at 7 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
March 9, 2010 - March 4, 2011
BROOKSTONE SECURITIES, INC.
February 9, 2009 - February 4, 2010
JHS CAPITAL ADVISORS, LLC
March 22, 2007 - February 5, 2009
WINDSOR STREET CAPITAL, LP
September 21, 2005 - March 15, 2007
ANDREW GARRETT INC.
April 27, 2001 - October 3, 2002
HARRISON SECURITIES, INC.
November 14, 2000 - May 7, 2001
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
November 14, 2000 - May 29, 2001
LADENBURG CAPITAL MANAGEMENT INC.
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
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