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Detailed Report
JEREMIAH JOEL SMITH
JERE JOEL SMITH
CRD#: 5473307
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Investment Adviser
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Previous Broker
BROOKSTONE WEALTH ADVISORS, LLCCRD#: 137658 311 Financial Way, STE 220
Wausau, WI 54401
Registration History
20082010201220142016201820202022202420262 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2015 (1 year)IABROOKSTONE WEALTH ADVISORS, LLC (CRD# 137658)2015 - Present (9 years)BTAYLOR CAPITAL MANAGEMENT INC. (CRD# 43559)2015 - 2016 (<1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2009 - 2013 (3 years)BCATHOLIC FINANCIAL SERVICES CO... (CRD# 37185)2008 - 2009 (1 year)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2012 - 2013 (1 year)
License(s)

State Registrations

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Texas 10/19/2021
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Wisconsin 8/31/2015
Current Registration(s)
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BROOKSTONE WEALTH ADVISORS, LLC (CRD#:137658)
311 Financial Way, STE 220, Wausau, WI 54401
Registered with this firm since 8/31/2015
Previous Registration(s)
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 09/14/2015 - 02/22/2016 TAYLOR CAPITAL MANAGEMENT INC. (CRD#:43559) Wausau, WI
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 04/09/2014 - 09/14/2015 MIDWEST PROFESSIONAL PLANNERS, LTD. (CRD#:112995) WAUSAU, WI
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 04/09/2014 - 09/02/2015 COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC. (CRD#:43814) WAUSAU, WI
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 11/20/2013 - 04/02/2014 MML INVESTORS SERVICES, LLC (CRD#:10409) SCHOFIELD, WI
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 10/16/2013 - 04/02/2014 MML INVESTORS SERVICES, LLC (CRD#:10409) SCHOFIELD, WI
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 10/30/2012 - 10/22/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) WAUSAU, WI
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 11/20/2009 - 10/22/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) WAUSAU, WI
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 01/21/2008 - 10/26/2009 CATHOLIC FINANCIAL SERVICES CORPORATION (CRD#:37185) WAUSAU, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.