Richard L. Beale

BEALE HEALY INVESTMENT ADVISORS

RICHMOND, VA 23230

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CRD#: 718277

Professional summary

Richard Lee Beale IV, who also goes by Richard Lee Turberville Beale IV, Richard Lt Beale Iv, is a registered financial advisor currently at BEALE HEALY INVESTMENT ADVISORS INC located in Richmond, Virginia and OSAIC WEALTH, INC. located in Richmond, Virginia.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Lee Turberville Beale Iv | Richard Lt Beale Iv

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. BEALE HEALY FINANCIAL GROUP INC. POSITION: Owner - President NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 01/26/1979 ADDRESS: 6806 Paragon Place Suite 140 Richmond, Va. 23230, Richmond VA 23230, United States DESCRIPTION: Insurance Sales 2. BEALE HEALY INVESTMENT ADVISORS, INC., INVESTMENT RELATED, 6806 PARAGON PLACE SUITE 140 RICHMOND, VA. 23230, POSITION: INVESTMENT ADVISORY SERVICES,VICE PRESIDENT, START DATE 1982, HOURS 120/MONTH, HOURS DURING SECURITIES TRADING 6 HRS PER DAY, DUTIES: CLIENT CONTACT, COMPUTER SYSTEMS 3. RICHARD BEALE POSITION: OWNER NATURE: SOLE PROPRIETORSHIP INVESTMENT RELATED: NO NUMBER OF HOURS: 20 INVESTMENT RELATED HOURS: 0 START DATE: 01/01/2001 ADDRESS: 20127 PENDLETON ROAD, BOWLING GREEN VA 22427 DESCRIPTION: FARMING INCOME/ RENTAL INCOME FROM LAND RENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Beale IV'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®

None

Experience

Current

April 1, 2002 - Present

BEALE HEALY INVESTMENT ADVISORS INC

Office #1: 6806 Paragon Place Suite 140, Richmond, VA 23230

RIA

CRD#: 110969

RICHMOND, VA

Current

November 19, 1989 - Present

OSAIC WEALTH, INC.

Office #1: 6806 Paragon Place Suite 140, Richmond, VA 23230

RIA

CRD#: 23131

Richmond, VA

Past

April 19, 1984 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 17, 1982 - April 26, 1984

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

Past

October 30, 1980 - September 10, 1982

NEW ENGLAND SECURITIES

CRD#: 615

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/15/2000)

California
(6/23/2000)

Colorado
(11/19/1989)

Georgia
(5/22/2001)

Iowa
(1/12/2000)

Kentucky
(11/19/1989)

Maine
(5/14/1998)

Maryland
(11/19/1989)

Minnesota
(2/21/2001)

Nevada
(11/17/1998)

New Jersey
(5/16/2000)

New Mexico
(5/8/2001)

North Carolina
(11/19/1989)

Ohio
(6/5/2002)

Texas
(1/4/2001)

IAR

Texas
(5/19/2012)

Virginia
(11/19/1989)

IAR

Virginia
(4/1/2002)

West Virginia
(11/19/1989)

Wisconsin
(10/7/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/24/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 10/26/1980

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

BEALE HEALY INVESTMENT ADVISORS INC

CRD#: 110969 / SEC#: 801-19563

RIA

Registered Investment Advisory firm - (6/25/2012 Terminated)

Texas

Registered Investment Advisory firm - (5/19/2012 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (6/25/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6806 Paragon Place Suite 140, Richmond, VA 23230

Mailing Address

Phone number

(804) 355-0223

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 76,189,492

Red Flags

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard L. Beale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Beale IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

INVESTORS SECURITY COMPANY, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 11/24/1980

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Series 1

Date: 10/26/1980

FINRA

Current Firm

BEALE HEALY INVESTMENT ADVISORS INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BEALE HEALY INVESTMENT ADVISORS INC

TRUST BUT VERIFY

Contact information

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