JM
Julie C. Mains
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CRD#: 5149817
JM
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.
Julie C. B. Mains, who also goes by Julie Christine Brooks, Julie B Mains, Julie Brooks Mains, Julie C Mains, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 2006. Julie had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Julie Christine Brooks | Julie B Mains | Julie Brooks Mains | Julie C Mains
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) GOLD COAST FINANCIAL GROUP (DBA),2753 CAMINO CAPISTRANO, BLDG B, 1ST FLOOR (B-1), SAN CLEMENTE, CA - SECURITIES,PARTNER WITH SCOTT BROOKS FOR SECURITIES BUSINESS, JUNE 2008,PROVIDE FINANCIAL SERVICE, 70%. 2) LAW OFFICE OF JULIE MAINS, 2753 CAMINO CAPISTRANO, BLDG B, 1ST FLOOR (B-1), SAN CLEMENTE, CA - ATTORNEY, PROVIDE LEGAL ADVICE AND CONSULTATION. MAY ALSO ACT AS TRUSTEE BUT DO NOT PROVIDE ANY ADDITIONAL FINANCIAL ADVICE IN THAT CAPACITY., 2002, 20%. 3) GCFG INSURANCE (DBA): 2753 CAMINO CAPISTRANO, BLDG B, 1ST FLOOR (B-1), SAN CLEMENTE, CA - INSURANCE SALES/BROKER, 15%. 4) DST (DEFERRED SALES TRUST) BY AND THROUGH GOLD COAST FINANCIAL GROUP: JULY 2016/AFFILIATE, ESTATE PLANNING TEAM REPRESENT AND MARKET FOR DEFERRED SALES TRUST 1-2 HOURS DURING/AFTER TRADING HOURS EXPLANING THE STRATEGY AS POTENTIALLY SUITABLE FOR CERTAIN CLIENTS IN CERTAIN CIRCUMSTANCES. 5) GOLD COAST WEALTH ADVISORS (DBA): ADVISING CLIENTS ABOUT OUR FEE BASED MONEY MANAGEMENT OPTIONS, PARTNER. 6) GOLD COAST WEALTH MANAGEMENT (DBA): ADVISING CLIENTS ABOUT OUR FEE BASED MONEY MANAGEMENT OPTIONS, PARTNER. (THE ABOVE ARE SUB DIVISIONS OF THE CURRENTLYDISCLOSED GOLD COAST FINANCIAL GROUP). 7) TRUSTEE- MOTHER'S TRUST, I WILL NOT BE THE FINANCIAL ADVISOR, I WILL ONLY BE THE TRUSTEE FOR REPORTING PURPOSES UNDER MY LAW PRACTICE. 8) NATIONAL CHARITY LEAGUE- MONARCH CHAPTER: VP MEMBERSHIP 2015-2017, ON THE BOARD OF THE CHAPTER AN IN CHARGE OF ALL MEMBERSHIP, MOTHER DAUGHTER CHARITY THAT SUPPORTS OTHER CHARITIES. 9) CALIFORNIA FUTURE PROBLEM SOLVERS - ACADEMIC ORGANIZATION FOR ELEMENTARY THROUGH HIGH SCHOOL STUDENTS, THE CA FPS PROGRAM HOLDS THE COMPETITIONS FOR THE CALIFORNIA SCHOOLS WHO PARTICIPATE, SECRETARY. 10) WHITE GLOVE REVIEWS, LLC: 11/2017, MEMBER, TRAVEL/HOTEL REVIEWS, WRITE & POST HOTEL/RESTAURAUT TRAVEL REVIEWS, LETTERS TO ORGANIZATIONS. 11) TRUSTEE - LEFTWICH TRUST, 10/2017, INDEPENDENT THIRD PARTY TRUSTEE ON TRUST APPOINTED THROUGH ARBITRATION, NO ACCOUNT MANAGEMENT OF SECURITIES. 12) TRUSTEE - FAMILY IRREVOCABLE TRUST, 10/2017,ALL ONGOING MONEY MANAGEMENT & TRUST ACTIVITIES FOR MY PARENTS PRP. 13) WHITE GLOVE EVENTS,LLC: JUNE 2019/CALIFORNIA, TRAVEL/HOTEL REVIEWS. ONE MEMBER LLC, WRITE AND POST HOTEL/RESTAURANT TRAVEL REVIEWS,LETTERS TO ORGANIZATIONS. 14) RESTOR AUTO LLC: OWNER, 7/2018, PURCHASE AND RESTORE CARS.
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®
NoneExperience
Past
March 2, 2009 - October 7, 2022
NFSG CORPORATION
RIA
CRD#: 130814
SAN CLEMENTE, CA
Past
June 27, 2008 - October 7, 2022
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
SAN CLEMENTE, CA
Past
November 15, 2006 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
