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CHRISTOPHER FREDERIC VEALE
CHRIS VEALE
CRD#: 2536489
PR
Previously Registered Broker
Registration History
199619982000200220042006200820102012201420163 FIRMS1997 - 1997 (<1 year)BLEGEND SECURITIES, INC. (CRD# 44952)2013 - 2015 (1 year)BJOHN THOMAS FINANCIAL (CRD# 40982)2013 - 2013 (<1 year)BMEYERS ASSOCIATES, L.P. (CRD# 34171)2012 - 2013 (<1 year)BBLACKWALL CAPITAL MARKETS, INC. (CRD# 144403)2012 - 2012 (<1 year)BBROOKVILLE CAPITAL PARTNERS (CRD# 102380)2009 - 2012 (3 years)BFRANKLIN CHRISTOPHER INVESTMEN... (CRD# 123234)2008 - 2009 (<1 year)BMAXIMUM FINANCIAL INVESTMENT G... (CRD# 40096)2007 - 2008 (<1 year)BTHE CONCORD EQUITY GROUP, LLC (CRD# 14569)2007 - 2007 (<1 year)BGREAT EASTERN SECURITIES, INC. (CRD# 2061)2005 - 2007 (2 years)BNEW YORK GLOBAL SECURITIES, INC. (CRD# 46429)2004 - 2004 (<1 year)BS.W. BACH & COMPANY (CRD# 43522)2000 - 2004 (3 years)BSANDS BROTHERS & CO., LTD. (CRD# 26816)2000 - 2000 (<1 year)BWINCHESTER INVESTMENT SECURITI... (CRD# 28543)1999 - 1999 (<1 year)BE. C. CAPITAL, LTD. (CRD# 37447)1997 - 1998 (<1 year)BSTRATTON OAKMONT INC. (CRD# 18692)1995 - 1996 (1 year)
Disclosure(s)
View By:
3/18/2016
Customer Dispute
Pending
4/29/2015
Regulatory
Final
2/16/2015
Customer Dispute
Award / Judgment
1/15/2014
Regulatory
Final
1/15/2014
Regulatory
Final
9/9/2013
Judgment / Lien
9/9/2013
Judgment / Lien
2/13/2012
Customer Dispute
Settled
4/11/2011
Judgment / Lien
2/25/2008
Judgment / Lien
9/15/2007
Judgment / Lien
3/12/2006
Criminal
Final Disposition
9/7/2005
Regulatory
Final
12/22/2004
Regulatory
Final
8/17/2004
Customer Dispute
Settled
5/5/2004
Customer Dispute
Settled
1/30/2004
Customer Dispute
Settled
12/12/2003
Judgment / Lien
7/29/2003
Customer Dispute
Settled
12/3/2002
Customer Dispute
Settled
7/15/2002
Customer Dispute
Settled
7/1/2002
Customer Dispute
Settled
5/23/2002
Customer Dispute
Settled
2/21/2001
Customer Dispute
Settled
8/30/2000
Customer Dispute
Denied
Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/21/2013 - 02/20/2015 LEGEND SECURITIES, INC. (CRD#:44952)
FINRA expelled the firm on 04/17/2017
NEW YORK, NY
B
04/18/2013 - 05/28/2013 JOHN THOMAS FINANCIAL (CRD#:40982)
FINRA expelled the firm on 10/31/2013
NEW YORK, NY
B
11/26/2012 - 03/20/2013 MEYERS ASSOCIATES, L.P. (CRD#:34171)
FINRA expelled the firm on 05/29/2018
NEW YORK, NY
B
06/25/2012 - 11/29/2012 BLACKWALL CAPITAL MARKETS, INC. (CRD#:144403) NEW YORK, NY
B
01/26/2009 - 06/28/2012 BROOKVILLE CAPITAL PARTNERS (CRD#:102380)
FINRA expelled the firm on 06/08/2015
UNIONDALE, NY
B
04/04/2008 - 01/15/2009 FRANKLIN CHRISTOPHER INVESTMENT BANKERS, INC. (CRD#:123234)
FINRA expelled the firm on 06/28/2016
WHITE PLAINS, NY
B
07/13/2007 - 03/25/2008 MAXIMUM FINANCIAL INVESTMENT GROUP, INC. (CRD#:40096)
FINRA expelled the firm on 08/17/2009
SOUTHFIELD, MI
B
03/06/2007 - 07/24/2007 THE CONCORD EQUITY GROUP, LLC (CRD#:14569) ISELIN, NJ
B
01/10/2005 - 01/19/2007 GREAT EASTERN SECURITIES, INC. (CRD#:2061) NEW YORK, NY
B
03/30/2004 - 12/15/2004 NEW YORK GLOBAL SECURITIES, INC. (CRD#:46429) NEW YORK, NY
B
05/03/2000 - 02/05/2004 S.W. BACH & COMPANY (CRD#:43522) PORT WASHINGTON, NY
B
01/28/2000 - 05/10/2000 SANDS BROTHERS & CO., LTD. (CRD#:26816) NEW YORK, NY
B
06/18/1999 - 08/27/1999 WINCHESTER INVESTMENT SECURITIES, INC. (CRD#:28543) OVERLAND PARK, KS
B
12/02/1997 - 07/08/1998 E. C. CAPITAL, LTD. (CRD#:37447) MINEOLA, NY
B
10/29/1997 - 12/02/1997 IAR SECURITIES CORP. (CRD#:5155)
FINRA expelled the firm on 08/28/2012
NEW YORK, NY
B
04/28/1997 - 11/17/1997 D.L. CROMWELL INVESTMENTS, INC. (CRD#:37730)
FINRA expelled the firm on 01/06/2004
BOCA RATON, FL
B
01/14/1997 - 05/06/1997 H.J. MEYERS & CO., INC. (CRD#:15609)
FINRA expelled the firm on 03/01/1999
ROCHESTER, NY
B
02/17/1995 - 12/20/1996 STRATTON OAKMONT INC. (CRD#:18692)
FINRA expelled the firm on 06/29/1998
LAKE SUCCESS, NY
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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