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DE

David J. Escarcega

Some features on this profile are disabled
CRD#: 4367584
DE

Professional summary

David Joseph Escarcega was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, David had worked at 7 firms, which includes BROOKSTONE CAPITAL MANAGEMENT LLC, CENTER STREET SECURITIES INC., CHASE INVESTMENT SERVICES CORP., OSAIC FS INC., MONY SECURITIES CORPORATION, MML INVESTORS SERVICES LLC, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 17, 2013 - December 19, 2014

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA
CRD#: 141413
PHOENIX, AZ
Past

April 12, 2010 - September 16, 2013

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA
CRD#: 141413
CHANDLER, AZ
Past

March 17, 2010 - April 6, 2016

CENTER STREET SECURITIES, INC.

BD
CRD#: 26898
PHOENIX, AZ
Past

September 29, 2008 - January 22, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
GILBERT, AZ
Past

September 24, 2008 - January 22, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
GILBERT, AZ
Past

March 15, 2006 - September 24, 2008

OSAIC FS, INC.

RIA
CRD#: 3870
CHANDLER, AZ
Past

September 10, 2004 - September 24, 2008

OSAIC FS, INC.

BD
CRD#: 3870
CHANDLER, AZ
Past

February 25, 2003 - August 6, 2004

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

April 16, 2002 - February 22, 2003

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

July 20, 2001 - March 14, 2002

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 19, 2001 - July 26, 2001

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/20/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/6/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/15/2001
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A, APPENDIX 1 - WRAP BROCHURE (7/30/2025)
BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (7/30/2025)

Regulatory assets under management

Total Number of Accounts73,650
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.

Company Information

BROOKSTONE CAPITAL MANAGEMENT LLC

CRD#: 141413

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