James H. Heafner

Some features on this profile are disabled

CRD#: 4837072

Professional summary

James Hal Heafner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, James had worked at 8 firms, which includes BROOKSTONE WEALTH ADVISORS LLC, HORTER INVESTMENT MANAGEMENT LLC, TAYLOR CAPITAL MANAGEMENT INC., BROOKSTONE CAPITAL MANAGEMENT LLC, KCD FINANCIAL INC., SOUTHEAST INVESTMENTS N.C. INC., CAPITAL INVESTMENT GROUP INC., PARK AVENUE SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Heafner

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

July 7, 2014 - August 31, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

CHARLOTTE, NC

Past

April 13, 2011 - July 14, 2014

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

CHARLOTTE, NC

Past

March 28, 2011 - January 22, 2018

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

CHARLOTTE, NC

Past

March 9, 2009 - April 4, 2011

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

CHARLOTTE, NC

Past

February 14, 2008 - March 11, 2009

KCD FINANCIAL, INC.

CRD#: 127473

CHARLOTTE, NC

Past

June 14, 2007 - October 15, 2007

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

January 26, 2005 - June 8, 2007

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

CHARLOTTE, NC

Past

September 27, 2004 - February 2, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/8/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/7/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 1/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/24/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James H. Heafner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORTER INVESTMENT MANAGEMENT, LLC

TAYLOR CAPITAL MANAGEMENT INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

KCD FINANCIAL, INC.

SOUTHEAST INVESTMENTS, N.C., INC.

CAPITAL INVESTMENT GROUP, INC.

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/2011

Series 65

Date: 1/7/2009

SIE

Date: 1/22/2018

Series 6

Date: 9/24/2004

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors