Jeffrey Alan Umbaugh

Current Employers

Employment History

• 02/2015 → Present
  Regal Investment Advisors
  Kentwood, MI
• 02/2015 → Present
  Regulus, Llc
  Kentwood, MI

Previous Registrations

• 2008-11-18 → 2015-03-06
  Concourse Financial Group Securities, Inc.
  Plymouth, IN
  Greenwood, IN
  Plymouth, IN
• 2008-01-29 → 2008-12-31
  Umbaugh Financial
  Plymouth, IN
• 2006-02-27 → 2007-12-31
  Umbaugh Financial
  Plymouth, IN
• 2005-01-26 → 2006-01-18
  Ffp Advisory Services Inc
  Plymouth, IN
• 2003-05-06 → 2005-02-02
  Usa Financial Securities Llc
  Plymouth, IN
• 2001-02-08 → 2002-09-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  South Bend, IN

Other Businesses

1. DBA: DILLON-UMBAUGH WEALTH MANAGEMENT/ UMBAUGH FINANCIAL INC.; INVESTMENT RELATED; 2901 MILLER DRIVE SUITE B PLYMOUTH IN; WEALTH MANAGEMENT FIRM; FINANCIAL PLANNER; INVESTMENT ADVISOR REP; FINANCIAL SERVICES INVESTMENT PLANNING; STARTED 01/2008; STARTED 160 HRS/MO. 2. EQUITY INDEXED ANNUITIES WITH ALLIANZ LIFE JACKSON NATIONAL LIFE; AVIVA, NORTH AMERICAN, LINCOLN FINANCIAL, ING; NOT INVESTMENT RELATED; 5 HRS/MO. PHOENIX LIFE POSITION: AGENT NATURE: FIXED ANNUITY INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 05/07/2012 ADDRESS: SUITE 8027, 30 DAN ROAD, CANTON MA 02021-2809 DESCRIPTION: SALE OF FIXED ANNUITY PRODUCT (SPIA) KUHN,DILLON,UMBAUGH, LLC POSITION: OWNER NATURE: TAX PREPARATION AND ACCOUNTING SERVICES INVESTMENT RELATED: NO NUMBER OF HOURS: 85 INVESTMENT RELATED HOURS: 85 START DATE: 07/01/2013 ADDRESS: 2901 MILLER DRIVE, SUITE B, PLYMOUTH IN 46563 DESCRIPTION: ROUTINE TAX RETURN PREPARATION SERVICES, BOOKKEEPING, AND ACCOUNTING SERVICES FOR BUSINESSES.Ã?,Ã,  MY DUTIES AS OWNER ARE PROVIDING INFRASTRUCTURE AND SUPPORT TO TAX PREPARERS.Ã?, GARRO REALTY, INC. POSITION: VICE PRESIDENT NATURE: RENTAL PROPERTIES INVESTMENT RELATED: NO NUMBER OF HOURS: 20 INVESTMENT RELATED HOURS: 20 START DATE: 10/01/2006 ADDRESS: 2901 MILLER DRIVE, SUITE C, PLYMOUTH IN 46563 DESCRIPTION: MANAGEMENT, BOOK & RECORD KEEPING. PMG AGENCY POSITION: AGENT NATURE: HEALTH INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 4 START DATE: 09/24/2013 ADDRESS: 3711 RUPP DR., SUITE 103, FORT WAYNE IN 46835 DESCRIPTION: HEALTH INSURANCE SALES.Ã,  OFFERING OF HEALTH INSURANCE POLICIES AVAIABLE ON THE NEW EXCHANGES PROVIDED BY THE AFFORDABLE HEALTH CARE ACT.Ã, REGAL INVESTMENT ADVISORS - INVESTMENT ADVISER REPRESENTATIVE Agent for Crump Life Insurance. Located at 4135 North Front Street, Harrisburg, PA, 17110. Phone: 847-230-1309. Started on 1/1/2016 and devotes 10 hours per month and 10 hours per trading hours. This is not investment related. Duties include placing any life insurance LTC disability business through Crump Life Insurance. They provide licensing with needed companies and manage cases. Supervisor is Eileen Shovlin and he is compensated through commissions. Business Name: O-Line Properties Inc - Investment Related: No - Address: 11166 Regency Ct, Plymouth, IN - Nature of Business: Rental Properties - Title or Relationship: President - Start Date: 9/25/2023 - Hours per month: 1 - Hours per month during trading hours: 0 - Duties: Establishment of corporation is the only action taken so far. Properties in Garro Realty may be divided and added into O-Line Properties.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-11-30
• S66 Uniform Combined State Law Examination
  2001-01-31

Other Names

• Jeff Umbaugh