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2687 44Th Street Se, Kentwood, MI 49512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2018-09-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Securities | Grand Rapids | MI | 06/2005 | 09/2018 |
| Regulus, Llc | Grand Rapids | MI | 09/2018 | Present |
| Regal Investment Advisors, Llc | Kentwood | MI | 09/2018 | Present |
1) Licensed insurance agent selling LTC, wealth transfer and whole life. 2) President of the Society of St.Vincent De Paul in Grand Rapids. This is located at 1314 Division Ave South, Grand Rapids, MI, 49507. It is a nonprofit charity. This began on 10/1/2016 and it is not investment related. James devotes 20 hours per month and 4 hours per month during trading hours. His duties include running board meetings. His supervisor is Bill Braizer and he receives no compensation. 3) Owner of a rental unit located at 705 S Bayshore Dr, Elk Rapids, MI, 49690. James has owned this unit since 5/1/2009 and devotes none of his professional time towards it. He does not receive any compensation. This is not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-06 |
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