SP
Samuel F. Payne
BROOKSTONE CAPITAL MANAGEMENT LLC
Temecula, CA
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CRD#: 4211911
SP
Professional summary
Samuel Franklin Payne is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Temecula, California.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Samuel has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 26 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.
RECEIVING RENEWALS ON PRIOR TRADITIONAL BUSINESS FROM PRUDENTIAL & PENN TREATY.
INSURANCE SALES
Estate Docs Pro, LLC - Referring clients and providing access to do it yourself estate docs, paid via referral fee
ASSET MARKETING SYSTEMS, 15050 AVENUE OF THE SCIENCES, SUITE 100, SAN DIEGO, CA, BUSINESS CONSULTANT; NON SECURITIES INSURANCE FIELD MARKETING ORGANIZATION.
Premier Social Security Consulting, LLC, Assist in coordinating social security classes, 50 E Business Way Suite 170, Sharonville, OH 45241, not investment related, compensated via percentage of net proceeds
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Franklin Payne'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
January 14, 2010 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Temecula, CA
Past
April 21, 2011 - December 28, 2015
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
TEMECULA, CA
Past
February 4, 2009 - April 29, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
BD
CRD#: 38383
PHILADELPHIA, PA
Past
April 26, 2007 - February 4, 2009
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
January 30, 2007 - April 25, 2007
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
SAN DIEGO, CA
Past
September 7, 2000 - January 28, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past
July 20, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
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
California(1/14/2010)
IAR
Texas(5/17/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/12/2013
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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
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.
