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Brent Allen Firestone

Description

Brent Firestone a financial professional at National Planning Corporation ("NPC of America" in FL & NY), a broker-dealer with over 1,700 registered representatives nationwide. Brent has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Brent Allen Firestone has not answered any questions on Financial Q&A.

Top Guides

Brent Allen Firestone has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
National Planning Corporation 7 years, 6 months Nov 2005 - Present
Walnut Street Securities Inc 4 years, 1 month Sep 2001 - Oct 2005
Equitable of Iowa 20 years May 1993 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/02/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute
As of Date
05/02/2011
06/21/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 05/19/2004
Investment Company Products/Variable Contracts Representative Examination Series 6 02/17/1995
Uniform Securities Agent State Law Examination Series 63 01/09/1995

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: (6) Performance-based fees