Mark A. Landau

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CRD#: 5298824

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.

Mark Andrew Landau, who also goes by Mark Andrew Landau Esq., was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2007. Mark had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Andrew Landau Esq.

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) Dugalic & Landau PC, Wynnewood PA 19076; Non-Invst Rltd; Attorney, Provide legal services in the area of estate planning including wills, trusts and powers of attorney; 12/2003-PRESENT; 100 hrs/mo; 20 trading hrs/mo. 2) Certainty Retirement Advisors; life insurance and annuity sales; 07/2017-PRESENT; 30 hrs/mo.

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

August 15, 2017 - August 11, 2022

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Wynnewood, PA

Past

January 23, 2017 - June 12, 2017

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

PLYMOUTH MEETING, PA

Past

January 1, 2017 - June 12, 2017

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

PLYMOUTH MEETING, PA

Past

February 2, 2012 - October 2, 2013

PARK AVENUE SECURITIES LLC

CRD#: 46173

BLUE BELL, PA

Past

August 21, 2008 - February 10, 2010

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CONSHOHOCKEN, PA

Past

August 7, 2008 - February 10, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CONSHOHOCKEN, PA

Past

November 29, 2007 - June 9, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

CONSHOHOCKEN, PA

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 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 66

Date: 11/29/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A, APPENDIX 1 - WRAP BROCHURE (7/30/2025)

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (7/30/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Landau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

BROOKSTONE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2016

SIE

Date: 6/12/2017

Series 7

Date: 12/30/2016

Series 6

Date: 4/20/2007

Current Firm

BROOKSTONE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKSTONE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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