CB
Christopher W. Beale
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
SOUTH MERIDEN, CT 06451
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CRD#: 1219495
CB
Professional summary
Christopher William Beale, CFP® is a registered financial advisor currently at NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC located in South Meriden, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Christopher has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 51 and Series 26 exams.
Question & Answer
What are your service offerings?
Long-term Care
Investment Planning
Insurance Planning
Small Business Planning
Retirement Planning
Comprehensive Financial Planni...
Tax Planning
Estate Planning
Employee and Employer Plan Ben...
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.
1. MINORITY INTEREST IN A SAVINGS AND LOAN HOLDING COMPANY, NATIONAL ADVISORS HOLDINGS, INC THAT HAS FORMED A FEDERALLY CHARTERED TRUST COMPANY, "NATIONAL ADVISORS TRUST COMPANY". TRUST REPRESENTATIVE OF NATC; NATIONAL ADVISORS TRUST OF SOUTH DAKOTA, WHICH IS REGULATED BY THE SOUTH DAKOTA BANKING DEPARTMENT. NATC IS REGULATED BY THE OTS. THE TRUST COMPANY INTENDS TO PROVIDE A LOW COST ALTERNATIVE TO TRADITIONAL TRUST SERVICE PROVIDERS,AND I INTEND TO REFER CLIENTS TO NATC. 2. NATIONAL ADVISORS TRUST COMPANY. INVESTMENT RELATED. 800 E 101st Terrace #300 Kansas City, MO 64131. BOARD OF DIRECTORS. 05/2013. 2 HRS/MO. BOARD MEMBER National Advisors Trust of South Dakota. 300 N Dakota Ave #219, Sioux Falls, SD 57104 Board member since 2022. 3. SELL LIFE, HEALTH, DI, AND LONG TERM CARE INSURANCE 4. OWN CW BEALE LLC WHICH OWNS THE PROPERTY AT 79 MAIN STREET, SOUTH MERIDEN WHERE NEW ENGLAND CAPITAL IS LOCATED. 5. BOARD DIRECTOR AND TREASURER FOR THE MEMBERS FIRST CT FCU IN MERIDEN, CT 06450 6. CUNO FOUNDATION. NOT INVESTMENT RELATED. 562 BALDWIN AVENUE, UNIT 6, MERIDEN, CT 06450. FOUNDATION-CHARITY. CHAIRMAN OF THE DISTRIBUTION COMMITTEE. 02/2018. 1 HR/MO; 0 DURING TRADING HOURS. CHAIRMAN OF THE DISTRIBUTION COMMITTEE.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher William Beale'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®
CFP®
Start date: 1993
Experience
Current
January 27, 2000 - Present
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
Office #1: 79 Main Street, South Meriden, CT 06451RIA
CRD#: 109203
SOUTH MERIDEN, CT
Past
January 2, 2013 - October 3, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
SOUTH MERIDEN, CT
Past
January 2, 2004 - December 31, 2012
HARVEST CAPITAL LLC
BD
CRD#: 35723
SOUTH MERIDEN, CT
Past
December 16, 2001 - December 31, 2003
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
July 25, 1988 - December 16, 2001
AMERICAN CAPITAL CORPORATION
BD
CRD#: 16124
VALLEY FORGE, PA
Past
December 9, 1983 - July 27, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NE
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
ELM CITY WEALTH MANAGEMENT | NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
CRD#: 109203 / SEC#: 801-57122
RIA
Registered Investment Advisory firm - (12/30/1999 Approved)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
Connecticut(1/27/2000)
IAR
Texas(3/20/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
NE
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
ELM CITY WEALTH MANAGEMENT | NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
CRD#: 109203 / SEC#: 801-57122
RIA
Registered Investment Advisory firm - (12/30/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
79 Main Street, South Meriden, CT 06451-5118
Mailing Address
Phone number
(203) 935-0265
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,152 |
| AUM (Assets Under Management) | $ 600,040,689 |
Red Flags
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Company Information
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
CRD#: 109203South Meriden, CT 06451TRUST BUT VERIFY
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Contact information
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