MS
Mark J. Sommerville
BROOKSTONE CAPITAL MANAGEMENT LLC
Buffalo Grove, IL 60089
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CRD#: 6366999
MS
Professional summary
Mark J Sommerville, who also goes by Mark Joseph Sommerville, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Buffalo Grove, Illinois.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Mark has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Joseph Sommerville
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.
THOJOR 1130 W Lake Cook Rd, Ste. 230, Buffalo Grove, IL, 60089 Licensed Representative Fixed/Index Annuity business and Life Insurance 2/24/2023
CRS (Client Relationship Summary) - RIA
Click below to view Mark J Sommerville'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
February 28, 2023 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 600 N. Buffalo Grove Road Suite 100, Buffalo Grove, IL 60089RIA
CRD#: 141413
Buffalo Grove, IL
Past
December 8, 2022 - February 9, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
ITASCA, IL
Past
December 8, 2022 - February 9, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ITASCA, IL
Past
April 2, 2021 - December 7, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DOWNERS GROVE, IL
Past
April 2, 2021 - December 7, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
July 3, 2020 - March 22, 2021
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
Arlington Heights, IL
Past
July 3, 2020 - March 22, 2021
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
Arlington Heights, IL
Past
April 15, 2020 - May 14, 2020
NORTHROCK PARTNERS, LLC
RIA
CRD#: 167908
Barrington, IL
Past
November 13, 2019 - January 14, 2020
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BLOOMFIELD HILLS, MI
Past
November 11, 2019 - January 14, 2020
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BLOOMFIELD HILLS, MI
Past
August 30, 2019 - October 31, 2019
OSAIC ADVISORY SERVICES, LLC
RIA
CRD#: 171070
South Barrington, IL
Past
August 30, 2019 - October 31, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
South Barrington, IL
Past
February 17, 2015 - September 26, 2019
SEQUOIA WEALTH MANAGEMENT, LLC
RIA
CRD#: 170543
SOUTH BARRINGTON, IL
Past
January 22, 2015 - September 18, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOUTH BARRINGTON, IL
Past
November 12, 2014 - September 18, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
SOUTH BARRINGTON, IL
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
Illinois(2/28/2023)
Exams
State Security Law 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.
