Cory James Thompson

Current Employers

Regal Investment Advisors Llc

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

Current Registrations

Authority	Category	Status	Date
OK	RA	APPROVED	2015-11-30

OK RA
APPROVED

Since 2015-11-30

Branch Locations

100 S. Riverfront Dr Suite409, Jenks, OK 74037 • United States

2687 44Th Street Se, Kentwood, MI 49512 • 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

Organization	City	State	From	To
Regulus, Llc	Kentwood	MI	11/2015	Present
Regal Investment Advisors, Llc	Kentwood	MI	11/2015	Present

11/2015 → Present

Regulus, Llc

Kentwood, MI
11/2015 → Present

Regal Investment Advisors, Llc

Kentwood, MI

Previous Registrations

2013-01-02 → 2015-12-01

First Independent Advisory Services, Inc.

Broken Arrow, OK

Tulsa, OK

Jenks, OK
2010-12-01 → 2012-09-04

Cetera Investment Services Llc

Tulsa, OK
2004-01-02 → 2010-12-02

Arvest Wealth Management

Tulsa, OK

Tulsa, OK

Tulsa, OK

Other Businesses

(DBA)CORY THOMPSON & ASSOCIATES; INVESTMENT RELATED; 100 S RIVERFRONT DR, JENKS, OK 74037; OWNER; START 09/04/2012; APPROX 160 HRS/MTH; APPROX 160 HRS/MTH DURING SECURITIES TRADING; FINANCIAL SERVICES. APPOINTED WITH VARIOUS LIFE, ACCIDENT AND HEALTH INSURANCE COMPANIES. CURRENTLY PARTICIPATES IN THE SALE OF EQUITY INDEXED ANNUITIES (EIA'S).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-11-20
S63	Uniform Securities Agent State Law Examination	1998-11-25

S65 Uniform Investment Adviser Law Examination

2003-11-20
S63 Uniform Securities Agent State Law Examination

1998-11-25

View on SEC IAPD