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Why We Are Different

As an Investor you could purchase securities from:

  • Wirehouse: A broker like Smith Barney, Merrill Lynch or Morgan Stanley offering stocks, bonds, mutual funds and variable annuities.
  • Bank: A bank like JP Morgan, Bank of America or Wachovia offering stocks, bonds, mutual funds and variable annuities.
  • Independent: An Investment Advisor Representative (IAR) like Brooks Clark Limited,
    offering stocks, bonds. mutual funds, exchange traded funds (EFTs), structured products, Unit Investment Trusts (UITs), Real Estate Investment Trusts (REITs), variable annuities (VAs) and separately managed accounts.

Advantages of working with an Investment Advisor Representative (IAR):

Registered Representative of a Broker Dealer  
Fiduciary Duty & Advice
  • Sells you securities
  • Buys you securities
  • Makes a commission when buying
    or selling securities for you
  • May sell you proprietary Securities
    for a higher commission
  • Basically a salesperson
  • Held to a higher level of accountability for every recommendation given to you
  • Can offer you a wider range of investment options
  • Securities offered to you have zero commission paid to IAR
  • Receives a special percentage of account value each year (as you prosper so do I)
  • A Fiduciary Advisor – not a salesperson

Fiduciary duty extends solely to investment advisory advice and does not extend to other activities such as insurance product sales, including annuities, life insurance, and long term care insurance or broker dealer services. Advisory clients are charged a quarterly fee for assets under management while insurance products pay a commission, which may result in a conflict of interest regarding compensation. IAR is also a licensed insurance agent. In this capacity, IAR may offer fixed life insurance products and receive normal and customary commissions. The client is under no obligation to purchase products through IAR on a commissionable basis. In addition, IAR may receive other compensation such as fixed or variable life trails. The potential for receipt of commissions and other compensation when IAR acts as an insurance agent may give IAR an incentive to recommend insurance products based on the compensation received.


Member, NATP
Brooks Clark Ltd, Retirement Planning Service, Bellevue, WA
Brookstone Capital Management LLC National Ethics Bureau

Authorized IRS e-file Provider by the Internal Revenue Service
Authorized Insurance Agent by the Insurance Commissioner in the State of Washington
Investment Advisor Representative of Brookstone Capital Management LLC,
an SEC Registered Investment Advisor

Investment advisory services offered through Brookstone Capital Management, LLC (BCM), a registered investment advisor. BCM and Brooks Clark, LTD are independent of each other. Insurance products and services are not offered through BCM but are offered and sold through individually licensed and appointed agents.

The content of this website is provided for informational purposes only and is not a solicitation or recommendation of any investment strategy. Investments and/or investment strategies involve risk including the possible loss of principal. There is no assurance that any investment strategy will achieve its objectives.

Brooks Clark Ltd. • 4925 123rd Place SE • Bellevue WA 98006 • 425-649-1925

© 2016, Brooks Clark Ltd. All Rights Reserved.