James B. Rohall

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CRD#: 5342059

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.

James B Rohall, who also goes by James Brian Rohall, James Rohall, James Rohall, Jim Rohall, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2008. James had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Brian Rohall | James Rohall | James Rohall | Jim Rohall

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

November 4, 2019 - July 13, 2020

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

McClean, VA

Past

June 11, 2019 - October 17, 2019

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

Vienna, VA

Past

January 23, 2019 - April 2, 2019

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

RICHMOND, VA

Past

January 23, 2019 - April 2, 2019

ONEAMERICA SECURITIES, INC.

CRD#: 4173

RICHMOND, VA

Past

March 21, 2017 - June 8, 2018

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Arlington, VA

Past

March 20, 2017 - June 8, 2018

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

RESTON, VA

Past

September 20, 2016 - March 7, 2017

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

GREAT FALLS, VA

Past

June 26, 2015 - January 6, 2017

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

FAIRFAX CITY, VA

Past

June 26, 2015 - March 7, 2017

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

FAIRFAX CITY, VA

Past

January 28, 2015 - June 30, 2015

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

SEATTLE, WA

Past

January 2, 2015 - June 30, 2015

CAPITAL ONE INVESTING, LLC

CRD#: 45744

MCLEAN, VA

Past

May 7, 2014 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

May 7, 2014 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MCLEAN, VA

Past

November 1, 2013 - April 23, 2014

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

WARRENTON, VA

Past

February 7, 2011 - April 23, 2014

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

WARRENTON, VA

Past

July 1, 2010 - January 19, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

VIENNA, VA

Past

November 3, 2008 - January 26, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MCLEAN, VA

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: 10/31/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/20/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/2008

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

James B. Rohall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PAULSON INVESTMENT COMPANY LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

NYLIFE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

BROOKSTONE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2013

Series 63

Date: 5/20/2008

SIE

Date: 6/8/2018

Series 7

Date: 5/4/2011

Series 6

Date: 10/31/2008

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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