Linda E. Stapleton
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.
Linda Elizabeth Stapleton, CFP®, who also goes by Leah Stapleton, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1973. Linda had worked at 15 firms and has passed the Series 65, Series 63, Series 52, Series 62, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2017 - December 20, 2018
BROOKSTONE WEALTH ADVISORS, LLC
July 21, 2006 - January 12, 2011
FOOTHILL SECURITIES, INC.
February 15, 2002 - January 12, 2011
FOOTHILL SECURITIES, INC.
December 20, 1997 - February 1, 2002
OGILVIE SECURITY ADVISORS CORPORATION
April 17, 1997 - December 16, 1997
SII INVESTMENTS, INC.
May 22, 1995 - April 2, 1997
MARINER FINANCIAL SERVICES, INC.
July 30, 1992 - March 27, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 6, 1991 - August 3, 1992
AMERICAN CAPITAL CORPORATION
April 1, 1991 - May 3, 1991
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 28, 1991 - April 1, 1991
PW SECURITIES, INC.
July 10, 1989 - December 31, 1990
MARINER FINANCIAL SERVICES, INC.
January 20, 1987 - August 17, 1987
GROSVENOR FINANCIAL, INC.
July 8, 1986 - October 16, 1986
BROOKSTREET SECURITIES CORPORATION
November 8, 1985 - July 28, 1986
VOYA FINANCIAL ADVISORS, INC.
September 17, 1979 - November 3, 1983
NORTH AMERICAN MANAGEMENT, INC.
November 16, 1976 - November 3, 1977
NORTH STAR EQUITIES COMPANY
November 16, 1976 - November 28, 1978
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
July 23, 1973 - November 23, 1973
TRANSAMERICA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
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
Series 62
Date: 2/8/1993
Corporate Securities Limited Representative ExaminationSeries 1
Date: 11/11/1976
Registered Representative ExaminationCurrent Firm
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
Contact information
SEC notice filing (52 States and Territories)
Documents
Red Flags
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