Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2014 (6 years)2 FIRMS2014 - Present (11 years)BBROOKSTREET SECURITIES CORPORATION (CRD# 14667)1996 - 2007 (11 years)BH.J. MEYERS & CO., INC. (CRD# 15609)1995 - 1996 (<1 year)BASB FINANCIAL SERVICES (CRD# 24280)1994 - 1995 (<1 year)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1992 - 1994 (2 years)BGNA SECURITIES, INC. (CRD# 10465)1989 - 1992 (3 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1987 - 1989 (1 year)BNORSTAR BROKERAGE CORPORATION (CRD# 7313)1982 - 1987 (5 years)IABROOKSTREET CAPITAL MANAGEMENT (CRD# 14667)1997 - 2007 (9 years)
Disclosure(s)
View By:
4/25/2006
Customer Dispute
Settled
License(s)

State Registrations

B
California 2/13/2014
B
Idaho 7/18/2023
IA
California 2/14/2014
B
Texas 2/25/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
GWN SECURITIES INC. (CRD#:128929)
NORTHRIDGE, CA
Registered with this firm since 2/14/2014
B
GWN SECURITIES INC. (CRD#:128929)
NORTHRIDGE, CA
Registered with this firm since 2/13/2014
Previous Registration(s)
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IA
 06/27/2007 - 02/19/2014 PLANMEMBER SECURITIES CORPORATION (CRD#:11869) NORTHRIDGE, CA
B
 06/27/2007 - 02/19/2014 PLANMEMBER SECURITIES CORPORATION (CRD#:11869) NORTHRIDGE, CA
IA
 12/22/1997 - 06/27/2007 BROOKSTREET CAPITAL MANAGEMENT (CRD#:14667) NORTHRIDGE, CA
B
 03/05/1996 - 06/27/2007 BROOKSTREET SECURITIES CORPORATION (CRD#:14667) NORTHRIDGE, CA
B
 08/15/1995 - 03/14/1996 H.J. MEYERS & CO., INC. (CRD#:15609)
FINRA expelled the firm on 03/01/1999
ROCHESTER, NY
B
 10/11/1994 - 05/04/1995 ASB FINANCIAL SERVICES (CRD#:24280) IRVINE, CA
B
 05/30/1992 - 11/08/1994 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 06/21/1989 - 06/30/1992 GNA SECURITIES, INC. (CRD#:10465) GLEN ALLEN, VA
B
 08/10/1987 - 06/06/1989 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363)
B
 06/24/1982 - 07/31/1987 NORSTAR BROKERAGE CORPORATION (CRD#:7313)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.