Brian C. Steed
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.
Brian Christopher Steed was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 13 firms and has passed the Series 63 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
August 24, 2010 - October 5, 2010
BROOKSTONE SECURITIES, INC.
November 9, 2009 - August 20, 2010
ROCKWELL GLOBAL CAPITAL LLC
June 8, 2009 - September 11, 2009
SPARTAN CAPITAL SECURITIES, LLC
February 10, 2009 - June 9, 2009
BROOKVILLE CAPITAL PARTNERS
April 10, 2008 - October 21, 2008
NEWBRIDGE SECURITIES CORPORATION
May 15, 2007 - March 24, 2008
NATIONAL SECURITIES CORPORATION
January 11, 2007 - May 4, 2007
PRESTIGE FINANCIAL CENTER, INC.
August 31, 2006 - January 12, 2007
GREAT EASTERN SECURITIES, INC.
March 6, 2006 - July 31, 2006
EASTBROOK CAPITAL GROUP LLC
August 30, 2005 - April 4, 2006
JOSEPH STEVENS & CO., INC.
November 10, 2004 - September 22, 2005
GUNNALLEN FINANCIAL, INC
August 4, 2004 - November 1, 2004
JOSEPH GUNNAR & CO. LLC
April 6, 2004 - August 9, 2004
S.W. BACH & COMPANY
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.
