RL
Randal E. Locklier
BROOKSTONE CAPITAL MANAGEMENT LLC
Panama City Beach, FL 32408
Some features on this profile are disabled
CRD#: 6011271
RL
Professional summary
Randal E Locklier, who also goes by Randy Locklier, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Panama City Beach, Florida.
Randal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Randal has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Locklier
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.
J.D. Mellberg Financial, LLC- Non-Investment related business
3067 W. Ina Road, Suite 105, Tucson, AZ. 85741
Insurance Agency - Licensed Insurance Agent
Start date - 06/2017 - Present
Approximately 25. hours a week during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Randal E Locklier's CRS (Customer Relationship Summary).
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
Current
January 2, 2020 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 7104 Laird St., Ste. 300, Panama City Beach, FL 32408RIA
CRD#: 141413
Panama City Beach, FL
Past
April 10, 2019 - June 5, 2019
SPECIALIZED ADVISORS
RIA
CRD#: 299308
Columbia, SC
Past
June 16, 2017 - April 9, 2019
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Columbia, SC
Past
July 11, 2013 - October 3, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
COLUMBIA, SC
Past
June 18, 2013 - October 3, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
COLUMBIA, SC
Past
June 17, 2013 - October 3, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
COLUMBIA, SC
Past
June 27, 2012 - June 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBIA, SC
Past
April 23, 2012 - June 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBIA, SC
Past
March 28, 2012 - April 19, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
COLUMBIA, SC
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".
BC
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Alabama(1/6/2020)
IAR
Florida(2/7/2020)
IAR
North Carolina(1/6/2020)
IAR
South Carolina(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BC
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)Upgrade to AdvisorCheck Premium
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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)
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.
