DFX Intelligence

Data Factory

RIA / WealthAdvisor14 years in industry

RANDAL E LOCKLIER

Advisor at BROOKSTONE CAPITAL MANAGEMENT LLC

Panama City Beach, FL | WHEATON, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:308dc943-616f-e1f0-d55f-b48026723bf5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 27, 2012 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BROOKSTONE CAPITAL MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 25, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S65|S63
First exam: Feb 25, 2012
First registration: Jun 27, 2012
Dual registered: no
Other names: RANDY LOCKLIER
IAPD individual key: 6011271

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BROOKSTONE CAPITAL MANAGEMENT LLC	Independent wealth	Jan 2, 2020	n/a	yes	WHEATON, IL\|Panama City Beach, FL	Current employment
SPECIALIZED ADVISORS	Former SEC adviser	Apr 10, 2019	Jun 5, 2019	no	Columbia, SC\|DALLAS, TX	Previous registration
SECURE INVESTMENT MANAGEMENT, LLC	Independent wealth	Jun 16, 2017	Apr 9, 2019	no	Columbia, SC\|TUCSON, AZ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 11, 2013	Oct 3, 2016	no	COLUMBIA, SC	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 18, 2013	Oct 3, 2016	no	COLUMBIA, SC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 27, 2012	Jun 11, 2013	no	COLUMBIA, SC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SPECIALIZED ADVISORS	BROOKSTONE CAPITAL MANAGEMENT LLC	Jun 5, 2019	Jan 2, 2020	211	Firm change	Other
SECURE INVESTMENT MANAGEMENT, LLC	SPECIALIZED ADVISORS	Apr 9, 2019	Apr 10, 2019	1	Firm change	RIA to new firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Oct 3, 2016	Jul 11, 2013	-1,180	Channel change	Other
TD AMERITRADE, INC.	SECURE INVESTMENT MANAGEMENT, LLC	Oct 3, 2016	Jun 16, 2017	256	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 11, 2013	Jun 18, 2013	7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
141195:299308:AZ:2019-04-01	Apr 9, 2019	Apr 10, 2019	TUCSON, AZ	Firm change

Relationships

Registered with (6)

→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviserregistration: current employment
Jan 2, 2020 to presentfactForm ADV
→ SPECIALIZED ADVISORSRegistered adviserregistration: previous registration
Apr 10, 2019 to Jun 5, 2019factForm ADV
→ SECURE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 16, 2017 to Apr 9, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 18, 2013 to Oct 3, 2016factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 11, 2013 to Oct 3, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 27, 2012 to Jun 11, 2013factForm ADV

Dated events

No dated event names this entity yet.