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2687 44Th Street Se, Kentwood, MI 49512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-01-11 |
| MI | RA | APPROVED | 2010-11-12 |
Branch Locations
2687 44Th Street Se, Kentwood, MI 49512 • United States
72 W. Front St., Monroe, MI 48161 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regal Investment Advisors | Kentwood | MI | 11/2010 | Present |
| Regulus, Llc | Kentwood | MI | 01/2015 | Present |
1.RIVERBANK WEALTH MANAGEMENT - INDEPENDENT FINANCIAL SERVICES FIRM, STARTED IN OCT 2011 AND IS NON SECURITIES RELATED. OWNER, SENIOR WEALTH ADVISOR AND FULL FINANCIAL PLANNING. DEVOTES 160 HRS PER MONTH; 5 HRS DURING MARKET HRS. 2.REGAL INVESTMENT ADVISORS - RIA IS SECURITIES RELATED AND STARTED IN NOV 2010. DEVOTES 166 HRS PER MONTH; 166 HRS DURING MARKET HRS. 3. TRUSTEE OF E. & H. K. SCHOLARSHIP FOUNDATION. LOCATED AT 10 WASHINGTON ST, MONROE, MI, 48161. THIS IS INVESTMENT RELATED. HE DEVOTES 1 HOUR PER MONTH, 0 DURING TRADING HOURS. STARTED IN 7/2014. HE RECEIVES NO COMPENSATION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-13 |
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