Vincent J Leale
Professional Summary
Vincent J Leale is a registered financial advisor currently at JB DRAX HONORE' INC. located in New York, New York. Vincent is registered as a RR (Registered Representative) and started their career in finance in 2006. Vincent has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 3, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
JB DRAX HONORE INC. | JB DRAX HONORE' INC.
Contact Information
Main Address
65 E 55th Street Suite 1510, New York, NY 10022Mailing Address
65 E 55th Street Suite 1510, New York, NY 10022Phone Number
(212) 991-5800Established
Delaware since 04/07/2006Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (11 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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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State Registrations and Notice Filings
(5/29/2026)
(6/23/2026)
(6/9/2026)
(5/31/2026)
(5/29/2026)
(5/29/2026)
(5/29/2026)
(5/29/2026)
(5/29/2026)
(5/29/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Vincent J Leale's CRS (Customer Relationship Summary).
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