Henry F. Vales
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Henry Francis Vales, who also goes by Henry F Vales, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1991. Henry had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2006 - December 31, 2013
WEALTH & RETIREMENT PLANNING, LLC
August 30, 2005 - May 8, 2006
INSIGHT SECURITIES, INC.
November 3, 2000 - November 12, 2004
LEGG MASON WOOD WALKER, INCORPORATED
November 3, 2000 - November 12, 2004
LEGG MASON WOOD WALKER, INCORPORATED
March 24, 1999 - November 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 17, 1995 - March 10, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 1991 - June 23, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 4, 1991 - June 23, 1995
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
WEALTH & RETIREMENT PLANNING, LLC
CRD#: 140969 / SEC#:
Contact information
Red Flags
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