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Investment Adviser Firm Summary
BROOKSTONE WEALTH ADVISORS, LLC ( CRD # 137658/SEC#:801-67628 )
BROOKSTONE WEALTH ADVISORS, LLC, RWA, INC, RETIREMENT WEALTH ADVISORS, LLC, RETIREMENT WEALTH ADVISORS, INC., RETIREMENT RESOURCES…

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved3/16/2007
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama3/2/2015
Alaska3/2/2015
Arizona11/13/2013
Arkansas3/2/2015
California7/22/2010
Colorado4/14/2014
Connecticut5/28/2014
Delaware3/2/2015
District of Columbia3/2/2015
Florida10/11/2013
Georgia5/6/2014
Hawaii6/27/2014
Idaho9/25/2014
Illinois3/25/2013
Indiana5/30/2014
Iowa5/6/2014
Kansas3/2/2015
Kentucky10/23/2014
Louisiana4/11/2012
Maine3/2/2015
Maryland8/11/2014
Massachusetts11/13/2013
Michigan3/16/2007
Minnesota8/7/2014
Mississippi3/2/2015
Missouri3/10/2014
Montana3/2/2015
Nebraska5/14/2014
Nevada5/6/2014
New Hampshire10/7/2014
New Jersey6/4/2014
New Mexico4/11/2012
New York1/21/2014
North Carolina2/25/2014
North Dakota3/2/2015
Ohio2/25/2014
Oklahoma3/2/2015
Oregon3/2/2015
Pennsylvania10/16/2013
Puerto Rico3/21/2017
Rhode Island3/2/2015
South Carolina7/29/2014
South Dakota3/2/2015
Tennessee5/12/2014
Texas7/10/2007
Utah4/25/2014
Vermont3/2/2015
Virginia9/9/2013
Washington5/22/2014
West Virginia3/2/2015
Wisconsin7/25/2014
Wyoming9/18/2018
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.