Vincent W. Beale

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CRD#: 1418245

Professional summary

Vincent Wilkinson Beale SR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Vincent is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Vincent had worked at 11 firms, which includes BNB CAPITAL INC., WM. H. MURPHY & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, ROTAN MOSLE INC., LEHMAN BROTHERS INC., UNION EXCHANGE SECURITIES INCORPORATED, MARCUS STOWELL & BEYE GOVERNMENT SECURITIES INC., MARCUS STOWELL & BEYE INC., DOVER GROUP INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Vincent W Beale Sr | Vincent Wilkerson Beale

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.

The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 8, 1998 - August 23, 2002

BNB CAPITAL, INC.

CRD#: 43393

HOUSTON, TX

Past

August 27, 1997 - April 20, 1998

WM. H. MURPHY & CO., INC.

CRD#: 27274

HOUSTON, TX

Past

April 7, 1995 - August 14, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 28, 1995 - May 8, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 8, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

January 1, 1991 - June 1, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 20, 1990 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

January 18, 1989 - February 28, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 7, 1988 - February 4, 1989

UNION EXCHANGE SECURITIES, INCORPORATED

CRD#: 15191

Past

December 7, 1987 - November 8, 1988

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

CRD#: 19184

Past

November 10, 1987 - November 8, 1988

MARCUS, STOWELL & BEYE, INC.

CRD#: 7038

Past

March 20, 1986 - November 17, 1987

DOVER GROUP, INC.

CRD#: 16809

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 7/28/1983

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/1997

General Securities Principal Examination

Current Firm

BNB CAPITAL, INC.

BNB CAPITAL, INC. | BNB SECURITIES, INC.

CRD#: 43393 / SEC#: , 8-50266

Cancelled by SEC on 10/04/2006

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Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 12/12/1996

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
BNB ENTERPRISES, LLC	SHARE HOLDER
BEALE, VINCENT WILKINSON SR	PRESIDENT	1418245

Disclosures

Regulatory Event

Red Flags

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

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Firm Stability Insights

Vincent W. Beale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WM. H. MURPHY & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

LEHMAN BROTHERS INC.

UNION EXCHANGE SECURITIES, INCORPORATED

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

MARCUS, STOWELL & BEYE, INC.

DOVER GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/1995

Series 63

Date: 4/9/1986

Series 7

Date: 3/17/1986

Series 2

Date: 7/28/1983

Series 24

Date: 8/4/1997

Current Firm

BNB CAPITAL, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BNB CAPITAL, INC.

TRUST BUT VERIFY

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