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Regal Investment Advisors LLC CRD 125004
$2.88B regulatory AUM 61 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2687 44Th Street Se, Kentwood, MI 49512 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-01-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Town Of Simsbury | Simsbury | CT | 06/2016 | 08/2021 |
| Ubs Financial Services Inc. | Hartford | CT | 08/2021 | 10/2022 |
| Unemployed | Na | CT | 10/2022 | 11/2022 |
| Thrivent Investment Management Inc. | Berlin | CT | 10/2022 | 02/2025 |
| Thrivent Financial | Minneapolis | MN | 11/2022 | 05/2024 |
| Thrivent Financial | Appleton | WI | 05/2024 | 02/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 02/2025 | Present |
| Regulus Financial Group, Llc | Kentwood | MI | 01/2026 | Present |
| Regal Investment Advisors, Llc | Kentwood | MI | 01/2026 | Present |
Business Name: Wealth Managers, LLC - Investment Related: Yes - Address: 37 Broadway CT, North Haven, CT 06473 - 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: Licensed Assistant - Start Date: 1/26/2026 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Assist with financial and insurance services
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-09-30 |
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