Michael L. Levy
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.
Michael L Levy, who also goes by Michael Lamar Levy, Michael Levy, Mike Levy, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 18 firms and has passed the Series 65, Series 63, SIE, PC, Series 15, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2019 - October 15, 2021
BROOKSTONE CAPITAL MANAGEMENT LLC
May 25, 2017 - September 5, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
May 25, 2017 - September 5, 2019
ALLSTATE FINANCIAL SERVICES, LLC
July 7, 2015 - May 24, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 7, 2015 - May 24, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 11, 2013 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
September 21, 2012 - July 7, 2015
STERNE, AGEE & LEACH, INC.
January 5, 2010 - September 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2009 - September 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2009 - August 28, 2009
MORGAN KEEGAN & COMPANY, LLC
July 16, 2009 - August 28, 2009
MORGAN KEEGAN & COMPANY, LLC
July 31, 2008 - March 9, 2009
TRANSAMERICA CAPITAL, LLC
March 2, 2005 - April 11, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 2, 2003 - February 11, 2005
EVERLAKE DISTRIBUTORS, LLC
August 3, 2000 - October 14, 2003
VP DISTRIBUTORS LLC
March 30, 1999 - November 17, 1999
CAPITAL BROKERAGE CORPORATION
December 13, 1996 - August 19, 1998
A. G. EDWARDS & SONS, INC.
March 18, 1995 - December 19, 1996
MORGAN STANLEY DW INC.
July 20, 1989 - March 15, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 1985 - August 3, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 31, 1983 - December 17, 1985
LEHMAN BROTHERS INC.
August 7, 1981 - January 24, 1983
MORGAN KEEGAN & COMPANY, LLC
September 26, 1978 - August 5, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
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
PC
Date: 1/21/1992
AMEX Put and Call ExamSeries 15
Date: 11/23/1983
Foreign Currency Options ExaminationCurrent Firm
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
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.
