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Current Employers
Regal Investment Advisors Llc

2687 44Th Street Se, Kentwood, MI 49512 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-01-07
FL RA APPROVED 2024-01-03
TX RA APPROVED_RES 2023-12-11
  • CT RA
    APPROVED
    Since 2024-01-07
  • FL RA
    APPROVED
    Since 2024-01-03
  • TX RA
    APPROVED_RES
    Since 2023-12-11

Branch Locations

37 Broadway, North Haven, CT 06473 • United States

2687 44Th Street Se, Kentwood, MI 49512 • United States

23190 Fashion Drive Suite P203, Estero, FL 33928 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisor Networks El Segundo CA 08/2014 12/2023
Cetera Investment Advisers Llc Schaumburg IL 03/2023 12/2023
Regulus Financial Group, Llc Kentwood MI 12/2023 Present
Regal Investment Advisors, Llc Kentwood MI 12/2023 Present
Previous Registrations
  • 2023-05-12 → 2023-12-12
    Estero, FL
  • 2014-08-04 → 2023-06-29
    Cetera Wealth Services, Llc
    Estero, FL
    North Haven, CT
    El Segundo, CA
  • 2008-07-14 → 2014-08-08
    Questar Asset Management, Inc.
    Minneapolis, MN
    Estero, FL
  • 2004-01-02 → 2008-07-11
    Everett Financial Group
    North Haven, CT
Other Businesses

Business Name: Wealth Managers, LLC - Investment Related: Yes - Address: 23190 Fashion Drive, Suite P203, Estero, FL 33928 - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Insurance Agent/Registered Representative/Investment Advisor Representative - Start Date: 12/1/2023 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. Business Name: Wealth Managers of Florida, LLC - Investment Related: Yes - Address: 23190 Fashion Drive, Suite P203, Estero, FL 33928 - Nature of Business: LLC in Florida for tax purposes - Title or Relationship: Owner - Start Date: 1/1/2014 - Hours per month: 160 - Hours per month during trading hours: 160 - Duties: LLC in Florida for tax purposes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-20
  • S66 Uniform Combined State Law Examination
    2003-08-20
Other Names
  • Shawn C Everett

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