Brookestone Join Us Process

At Brookstone Capital Management we strive to provide our
Investment Advisor Representatives superior customer service
from the very beginning and walk you step-by-step through the
process of joining us.

Step 1 - Getting your License Contact our registration specialist. They will provide you with prep materials to help you successfully pass your Series 65
license. If you already hold your Series 65 (7 and 66) license, or have any of the following designations: Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Counselor (CIC) we can start your registration paperwork immediately.

Step 2 – Registration Paperwork Contact our compliance department. Our compliance department will walk you through all of the necessary forms needed to get registered as an Investment Advisor Representative.

Step 3 – Approval Once all paperwork is approved, you are required to pay a registration fee.

Step 4 – Account set-up Set-up your email account, login to our Resource Center, TD Ameritrade and The BCM Weekly, our weekly e-newsletter.

Step 5 - Training Training with your dedicated Investment Advisor Specialist (IAS) on new account paperwork, marketing materials and our resource center. Your IAS is there to support you and ensure that your accounts move quickly and efficiently.

Compliance training. Our Compliance Officer will train you on what you need to know about SEC regulations.

Money Masters Securities and Investment training. This two and a half day class is required for all new Investment Advisor Representatives who join us. This course is designed to help you conduct your first appointment, becoming your clients' personal CFO, how to utilize the entire universe of investment vehicles, how to handle the second appointment and make the close, marketing your practice and other tools.

Join Us as a
Brookstone Advisor By becoming an Investment Advisor
Representative with Brookstone Capital
Management we can help you grow your
practice and increase your production
through our turnkey platform. As a Brookstone Advisor you will:

Differentiate yourself from competitors
Boost your profitability
Increase client satisfaction

Learn more about how to become a
Brookstone advisor As a Brookstone advisor, you will have
access to our model portfolios ranging
from conservative to aggressive as well
as some unique specialty models such as
inflation-protection and market-linked CDs.

Brookstone Capital Management 1751 South Naperville Road, Wheaton, IL 60189 • (866) 425-3003 • Fax (630) 653-4925

Important Notes: All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is no guarantee of future results and there can be no assurance, and clients should not assume, that future performance will be comparable to past performance. SMARToption claims compliance with the Global Investment Performance Standards (GIPS®). The verification and performance exam reports are available upon request. Historical numbers are based on an all accounts composite and includes all discretionary accounts which were invested in Swan Wealth Advisors, Inc.’s Defined Risk Strategy (DRS) since inception, July 1997. This composite is a combination of accounts utilizing margin and accounts not utilizing margin. SMARToption follows the non-margin methodology of the DRS. SMARToption is sub-advised by Swan Wealth Advisors, Inc., a SEC registered Investment Advisor. Awards and industry recognition are based on the performance of Swan Wealth Advisors, Inc.’s DRS select composite which includes all discretionary accounts which utilize margin.

*Overall Morningstar RatingTM Market Neutral Category as of 12/31/2011. Source Morningstar, Inc.