Charles W. Beale
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.
Charles Walter Beale, who also goes by Charles Walter Beale, Chuck Beale III, Chuck Beale, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 13 firms and has passed the Series 63, Series 7, Series 1 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
January 11, 2011 - May 9, 2012
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
January 10, 2008 - October 21, 2010
BROOKSTONE CAPITAL MANAGEMENT LLC
June 22, 2007 - December 14, 2007
C. W. "CHUCK" BEALE & ASSOCIATES RETIREMENT PLANNING, LLC
March 23, 2006 - June 16, 2006
LEGACY ADVISORY SERVICES, INC.
December 10, 2005 - June 16, 2006
LEGACY FINANCIAL SERVICES, INC.
March 30, 2004 - August 11, 2004
LEGACY FINANCIAL SERVICES, INC.
May 2, 1995 - May 15, 2002
OSAIC FS, INC.
August 10, 1992 - May 9, 1995
MUTUAL SERVICE CORPORATION
February 14, 1992 - June 10, 1992
DERAND/PENNINGTON/BASS, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - October 23, 1990
OSAIC WEALTH, INC.
August 15, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 7, 1988 - August 23, 1988
LEHMAN BROTHERS INC.
June 10, 1981 - March 7, 1988
E. F. HUTTON & COMPANY INC
February 2, 1976 - July 14, 1981
NEW ENGLAND SECURITIES
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
Series 1
Date: 1/27/1976
Registered Representative ExaminationCurrent Firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
CRD#: 132070 / SEC#: 801-63282
Contact information
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.
