Ann M. Healy

BEALE HEALY INVESTMENT ADVISORS

RICHMOND, VA 23230

Some features on this profile are disabled

CRD#: 874683

Professional summary

Ann M Healy, CFP®, who also goes by Ann Marie Healy, is a registered financial advisor currently at BEALE HEALY INVESTMENT ADVISORS INC located in Richmond, Virginia and OSAIC WEALTH, INC. located in Richmond, Virginia.

Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Ann has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Ann Marie Healy

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., INVESTEMENT RELATED, 6806 PARAGON PL., RICHMOND, VA 23230, OWNER, START 01/26/79, 10 HOURS/MONTH, 0 HOURS DURING SECURITY TRADING, DUTIES: PROVIDE CONSULTATION TO CLIENTS VIS-A-VIS INSURANCE AND RISK MANAGEMENT. 2- BEALE HEALY INVESTMENT ADVISORS, INC., INVESTMENT RELATED, 6806 PARAGON PL, SUITE 140, RICHMOND, VA 23230, START 06/09/1982, 160 HOURS, 6 HOURS DURING SECURITIES TRADING HRS, DUTIES: MANAGE PORTFOLIOS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann M Healy'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®

CFP^®

Certified Financial Planner

Start date: 1989

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

February 4, 1988 - March 13, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 19, 1984 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 10, 1982 - April 26, 1984

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

Past

December 6, 1979 - August 30, 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)

Arizona
(7/13/2016)

California
(11/4/1997)

Colorado
(4/29/1998)

Connecticut
(10/12/1998)

Delaware
(5/12/1998)

Florida
(11/6/1997)

Georgia
(2/4/1999)

Illinois
(6/4/1998)

Iowa
(4/22/1999)

Kansas
(4/21/1999)

Kentucky
(5/13/1998)

Maine
(5/13/1998)

Maryland
(11/19/1989)

Massachusetts
(10/7/1999)

Minnesota
(2/16/2001)

Mississippi
(10/18/1994)

Nevada
(11/16/1998)

New Jersey
(11/5/1997)

New Mexico
(5/7/2001)

New York
(11/19/1989)

North Carolina
(11/19/1989)

North Dakota
(2/9/2006)

Ohio
(5/10/2000)

Oklahoma
(9/13/2000)

Oregon
(2/4/1999)

Pennsylvania
(10/12/1998)

South Carolina
(4/2/2003)

South Dakota
(5/31/2001)

Texas
(1/7/1999)

Virginia
(11/19/1989)

IAR

Virginia
(4/1/2002)

West Virginia
(5/13/1998)

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: 3/10/1980

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: 2/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 11/27/1979

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/9/1989

General Securities Principal 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Similar Advisors

Karen Jones

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Richmond, VA

Joseph Mcvey

UBS FINANCIAL SERVICES INC.

IAR

Powhatan, VA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ann M. Healy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann M Healy's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

NEW ENGLAND SECURITIES

INTEGRATED RESOURCES EQUITY CORPORATION

INVESTORS SECURITY COMPANY, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/1980

SIE

Date: 10/1/2018

Series 7

Date: 2/19/1983

Series 1

Date: 11/27/1979

Series 24

Date: 6/9/1989

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

Similar Advisors