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DAVID NELSON HARPER II
DAVID NELSON HARPER
CRD#: 2053675
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BROOKSTONE CAPITAL MANAGEMENT LLCCRD#: 141413 4833 Front St Suite B 310
Castle Rock, CO 80104
Castle Rock, CO 80104
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5/20/2008
Employment Separation After Allegations
7/26/2002
Customer Dispute
Settled
State Registrations
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Colorado 3/19/2018
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Registered with this firm since 3/19/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2016 - 03/19/2018 | Englewood, CO | |
IA | 01/09/2009 - 07/22/2009 | ENGLEWOOD, CO | |
IA | 07/31/2008 - 12/31/2008 | ENGLEWOOD, CO | |
IA | 06/02/2008 - 06/05/2008 | ENGLEWOOD, CO | |
IA | 01/19/2001 - 05/20/2008 | CENTENNIAL, CO |
ENGLEWOOD, CO
01/09/2009 - 07/22/2009
ENGLEWOOD, CO
07/31/2008 - 12/31/2008
ENGLEWOOD, CO
06/02/2008 - 06/05/2008
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.