Christopher F. Veale
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.
Christopher Frederic Veale, who also goes by Chris Veale, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2013 - February 20, 2015
LEGEND SECURITIES, INC.
April 18, 2013 - May 28, 2013
JOHN THOMAS FINANCIAL
November 26, 2012 - March 20, 2013
WINDSOR STREET CAPITAL, LP
June 25, 2012 - November 29, 2012
PHX FINANCIAL, INC.
January 26, 2009 - June 28, 2012
BROOKVILLE CAPITAL PARTNERS
April 4, 2008 - January 15, 2009
BLACKBOOK CAPITAL, LLC
July 13, 2007 - March 25, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
March 6, 2007 - July 24, 2007
THE CONCORD EQUITY GROUP, LLC
January 10, 2005 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
March 30, 2004 - December 15, 2004
NEW YORK GLOBAL SECURITIES, INC.
May 3, 2000 - February 5, 2004
S.W. BACH & COMPANY
January 28, 2000 - May 10, 2000
SANDS BROTHERS & CO., LTD.
June 18, 1999 - August 27, 1999
WINCHESTER INVESTMENT SECURITIES, INC.
December 2, 1997 - July 8, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
October 29, 1997 - December 2, 1997
LEGEND MERCHANT GROUP, INC.
April 28, 1997 - November 17, 1997
D.L. CROMWELL INVESTMENTS, INC.
January 14, 1997 - May 6, 1997
H.J. MEYERS & CO., INC.
February 17, 1995 - December 20, 1996
STRATTON OAKMONT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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