RP
Ramona A. Purvis
BROOKSTONE CAPITAL MANAGEMENT LLC
Fiddletown, CA
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CRD#: 4383600
RP
Professional summary
Ramona Ann Purvis, who also goes by Ramona Ann Davis, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Fiddletown, California.
Ramona is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Ramona has worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ramona Ann Davis
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.
1) SALES AGENT FOR TRADITIONAL & FIXED INSURANCE PRODUCTS/ NON SECURITIES RELATED/ 2) BEMER DIRECT TO CONSUMER SALES OF CLASS II MEDICAL DEVICES
CRS (Client Relationship Summary) - RIA
Click below to view Ramona Ann Purvis'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
August 3, 2011 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Fiddletown, CA
Past
August 8, 2011 - May 1, 2014
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
FIDDLETOWN, CA
Past
April 27, 2011 - August 26, 2011
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
JACKSON, CA
Past
September 24, 2008 - May 10, 2011
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
FIDDLETON, CA
Past
May 21, 2002 - May 10, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
FIDDLETON, CA
Past
April 12, 2002 - June 17, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
May 9, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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(8/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General 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.
