Henry E. Vail

SUCRE'-VAIL WEALTH ADVISORS

Houston, TX 77058

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CRD#: 1088416

Professional summary

Henry Edward Vail was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Henry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Prior to being barred, Henry has worked at 8 firms, which includes LINCOLN FINANCIAL DISTRIBUTORS INC., 1717 CAPITAL MANAGEMENT COMPANY, SIGNATOR INVESTORS INC., ROTAN MOSLE INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FIRST JERSEY SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. VAIL IS CURRENTLY THE OWNER OF VAIL & ASSOCIATES, AN ESTATE PLANNING COMPANY, WHERE HE SPEND 85% OF HIS TIME SERVICING CLIENTS OF THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Edward Vail's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 12, 2007 - Present

SUCRE'-VAIL WEALTH ADVISORS

Office #1: 16862 Royal Crest Drive, Houston, TX 77058

RIA

CRD#: 114679

Houston, TX

Past

October 20, 1988 - November 12, 1991

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

August 13, 1986 - October 27, 1988

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

Past

July 13, 1985 - September 11, 1986

SIGNATOR INVESTORS, INC.

CRD#: 468

Past

September 6, 1984 - March 1, 1985

ROTAN MOSLE INC.

CRD#: 727

Past

January 9, 1984 - June 28, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

June 22, 1983 - October 6, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

March 1, 1983 - June 15, 1983

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/12/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/18/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Current Firm

SUCRE'-VAIL WEALTH ADVISORS

SUCRE'-VAIL WEALTH ADVISORS | XELAN | SUCRE-VAIL, INC. | SUCRE-VAIL, INC | SUCRE-VAIL WEALTH ADVISORS

CRD#: 114679 / SEC#: 801-63217

RIA

Registered Investment Advisory firm - (4/16/2007 Terminated)

Texas

Registered Investment Advisory firm - (5/19/2006 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

16862 Royal Crest Drive, Houston, TX 77058

Mailing Address

Phone number

(281) 286-9991

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	93
AUM (Assets Under Management)	$ 48,120,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Henry E. Vail

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Edward Vail's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUCRE'-VAIL WEALTH ADVISORS

LINCOLN FINANCIAL DISTRIBUTORS, INC.

1717 CAPITAL MANAGEMENT COMPANY

SIGNATOR INVESTORS, INC.

ROTAN MOSLE INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST JERSEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2006

Series 63

Date: 3/23/1983

Series 7

Date: 2/19/1983

Current Firm

SUCRE'-VAIL WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SUCRE'-VAIL WEALTH ADVISORS

TRUST BUT VERIFY

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