Robert E. Bragg
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.
Robert Earl Bragg was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 2003. Robert had worked at 4 firms and has passed the Series 66, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2010 - January 5, 2011
BROOKSTONE SECURITIES, INC.
January 2, 2009 - September 29, 2009
CARR MILLER CAPITAL INVESTMENTS, LLC
January 17, 2007 - December 31, 2008
CORNERSTONE SECURITIES LLC
January 9, 2007 - December 31, 2008
BROOKSTONE SECURITIES, INC.
August 26, 2003 - December 31, 2006
EQUITY SERVICES, INC.
June 30, 2003 - December 31, 2006
EQUITY SERVICES, INC.
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
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.
