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Current Employers
Regal Investment Advisors Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-12-03
  • PA RA
    APPROVED
    Since 2024-12-03

Branch Locations

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

Mt. Joy, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Questar Capital Corporation Minneapolis MN 02/2013 03/2019
Questar Asset Management Minneapolis MN 02/2013 03/2019
Woodbury Financial Services, Inc. Mount Joy PA 03/2019 01/2024
Osaic Wealth, Inc. Mount Joy PA 01/2024 12/2024
Regulus Financial Group, Llc Kentwood MI 12/2024 Present
Regal Investment Advisors, Llc Kentwood MI 12/2024 Present
  • 02/2013 → 03/2019
    Questar Capital Corporation
    Minneapolis, MN
  • 02/2013 → 03/2019
    Questar Asset Management
    Minneapolis, MN
  • 03/2019 → 01/2024
    Woodbury Financial Services, Inc.
    Mount Joy, PA
  • 01/2024 → 12/2024
    Mount Joy, PA
  • 12/2024 → Present
    Regulus Financial Group, Llc
    Kentwood, MI
  • 12/2024 → Present
    Kentwood, MI
Previous Registrations
  • 2024-01-19 → 2024-12-06
    Mount Joy, PA
  • 2019-03-01 → 2024-01-19
    Woodbury Financial Services, Inc.
    Mount Joy, PA
  • 2013-02-01 → 2019-03-01
    Questar Asset Management, Inc.
    Minneapolis, MN
    Mount Joy, PA
  • 2007-07-26 → 2013-02-07
    Walnut Street Securities, Inc.
    Manheim, PA
    Pittsburgh, PA
Other Businesses

SIMON FINANCIAL SERVICES DESCRIPTION: DBA for Insurance and Financial Services POSITION: Owner NATURE: Sell Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 08/01/1994 ADDRESS: 608 Milton Grove Road, Mt Joy PA 17552, United States DESCRIPTION: Prepare quotes, plans, and proposals for Life Insurance

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-08-05
  • S63 Uniform Securities Agent State Law Examination
    1993-08-05
Other Names
  • Christopher T Simon

View on SEC IAPD

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