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Current Employers
Regal Investment Advisors Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2022-05-05
  • MI RA
    APPROVED
    Since 2022-05-05

Branch Locations

5070 Cascade Rd. Suite 150, Grand Rapids, MI 49456 • 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
OrganizationCityStateFromTo
Fidelity Brokerage Services Llc Grand Rapids MI 03/2010 04/2022
Fidelity Personal And Workplace Advisors Boston MA 07/2018 04/2022
Regal Investment Advisors, Llc Kentwood MI 05/2022 Present
Regulus Financial Group, Llc Kentwood MI 05/2022 08/2024
  • 03/2010 → 04/2022
    Fidelity Brokerage Services Llc
    Grand Rapids, MI
  • 07/2018 → 04/2022
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 05/2022 → Present
    Kentwood, MI
  • 05/2022 → 08/2024
    Regulus Financial Group, Llc
    Kentwood, MI
Previous Registrations
  • 2018-07-13 → 2022-05-05
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2013-01-09 → 2018-07-13
    Grand Rapids, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-12
S63 Uniform Securities Agent State Law Examination 2010-06-09
  • S66 Uniform Combined State Law Examination
    2012-12-12
  • S63 Uniform Securities Agent State Law Examination
    2010-06-09
Designations
Other Names
  • Emily Joy Pratt

View on SEC IAPD

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