Tracey Lynn Spikes

Employer firm

Brookstone Wealth Advisors, LLC CRD 137658

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Brookstone Wealth Advisors, Llc

1745 S Naperville Rd Suite 200, Wheaton, IL 60189 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2024-02-21

SC RA
APPROVED

Since 2024-02-21

Branch Locations

Greenville, SC • United States

1745 S Naperville Rd Suite 200, Wheaton, IL 60189 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Retirement Wealth Advisors, Inc.	Loveland	OH	05/2019	02/2022
Ohio National Financial Services	Cincinnati	OH	09/2004	10/2018
Smart Retirement Strategies, Llc.	Loveland	OH	10/2018	Present
Smart Advisor Network	Pittsburgh	PA	08/2019	Present
Sequent Planning, Llc	Greenville	SC	06/2022	Present

05/2019 → 02/2022

Retirement Wealth Advisors, Inc.

Loveland, OH
09/2004 → 10/2018

Ohio National Financial Services

Cincinnati, OH
10/2018 → Present

Smart Retirement Strategies, Llc.

Loveland, OH
08/2019 → Present

Smart Advisor Network

Pittsburgh, PA
06/2022 → Present

Sequent Planning, Llc

Greenville, SC

Previous Registrations

2022-06-28 → 2023-10-17

Sequent Planning, Llc

Greenville, SC

Omaha, NE
2019-05-28 → 2022-02-15

Brookstone Wealth Advisors, Llc

Loveland, OH

Loveland, OH

Greenville, SC
2003-08-13 → 2004-07-30

Mml Investors Services, Llc

Houston, TX

Other Businesses

SMART RETIREMENT STRATEGIES, LLC.; INVESTMENT RELATED; 722 MIAMI HEIGHTS CT, LOVELAND, OH 45140; INSURANCE AND INVESTMENT ADVISORY; OWNER; STARTED 10/2018; 150 HOURS/MONTH DEVOTED; ALL HOURS DEVOTED DURING SECURITIES TRADING HOURS; OFFERS INSURANCE PRODUCTS AND SERVICES TO CLIENTS. SMART ADVISOR NETWORK; INVESTMENT RELATED; 710 CHAUVET DR, PITTSBURGH PA 15275; INSURANCE; OFFICER/DIRECTOR; STARTED 08/2019; 60 HOURS/MONTH DEVOTED; 60 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; OFFERS TRAINING AND EDUCATIONAL MATERIAL TO OTHER INSURANCE AGENTS (GET SPLIT COMMISSIONS AND TRAILS ON PRODUCTS THOSE AGENTS SELL).. INSURANCE AGENT: INVESTMENT RELATED, DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. GREENVILLE, SC. IRONWOOD BUILDERS: START DATE: 7/2021, NON-INVESTMENT RELATED, DUTIES INCLUDE: GENERAL CONTRACTOR, CONSTRUCTION REMODELING AND REPAIRS, TITLE: PARTNER, 10 HOURS DEVOTED DURING BUSINESS HOURS PER MONTH. 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS. GREENVILLE, SC 29609

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-05-06
S63	Uniform Securities Agent State Law Examination	2001-10-22

S65 Uniform Investment Adviser Law Examination

2019-05-06
S63 Uniform Securities Agent State Law Examination

2001-10-22

View on SEC IAPD