Gary L. Beavers
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.
Gary Lee Beavers was a registered financial advisor .
Gary is a previously registered financial advisor and started their career in finance in 1986. Gary had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2010 - May 2, 2012
BROOKSTONE SECURITIES, INC.
April 17, 2006 - December 1, 2009
BROOKSTONE SECURITIES, INC.
March 28, 2005 - February 10, 2006
KESTRA INVESTMENT SERVICES, LLC
February 14, 2005 - December 31, 2008
VPC GROUP
June 12, 2003 - December 31, 2004
VPC GROUP
January 2, 2001 - March 28, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 2, 1998 - January 8, 2001
WS GRIFFITH SECURITIES, INC.
January 2, 1998 - October 19, 1998
HIMCO DISTRIBUTION SERVICES COMPANY
April 19, 1995 - August 10, 1998
INVESTORS SECURITY COMPANY, INC.
November 29, 1993 - April 18, 1995
WS GRIFFITH SECURITIES, INC.
May 22, 1986 - November 29, 1993
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/7/1974
Registered Representative ExaminationCurrent Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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