Vivian V. Gwin
Professional summary
Vivian V Gwin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vivian is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Vivian had worked at 7 firms, which includes BROOKSTONE SECURITIES INC., GUNNALLEN FINANCIAL INC, CINCINNATI ANALYSTS INC., ON INVESTMENT MANAGEMENT CO, THE O.N. EQUITY SALES COMPANY, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2007 - June 27, 2007
BROOKSTONE SECURITIES, INC.
October 10, 2006 - March 9, 2007
GUNNALLEN FINANCIAL, INC
October 3, 2006 - March 9, 2007
GUNNALLEN FINANCIAL, INC
January 17, 2006 - October 3, 2006
CINCINNATI ANALYSTS, INC.
December 1, 2004 - October 3, 2006
CINCINNATI ANALYSTS, INC.
January 14, 2002 - January 20, 2004
ON INVESTMENT MANAGEMENT CO
August 10, 2001 - December 1, 2004
THE O.N. EQUITY SALES COMPANY
December 14, 2000 - July 23, 2001
IDS LIFE INSURANCE COMPANY
December 14, 2000 - July 23, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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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