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250 East Wisconsin Avenue Suite 1500, Milwaukee, WI 53202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-01-22 |
Branch Locations
250 East Wisconsin Avenue Suite 1500, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regal Bay Investment Group, Llc | Milwaukee | WI | 08/2002 | Present |
| Regal Securities | Milwaukee | WI | 05/2005 | Present |
(1) LUNAR TYPHOONS UNLIMITED. YES, INVESTMENT RELATED. 227 N. CHARLES ST. WAUKESHA, WI 53186. NATURE - INVESTMENT PARTNERSHIP. POSITION - CHAIRMAN AND PARTNER. START - 1980. 0 HOURS DEVOTED PER MONTH. ZERO HOURS DEVOTED DURING SECURITIES TRADING HOURS. DUTIES - PERSONAL INVESTMENT MANAGEMENT. CURRENTLY INACTIVE (2) REGAL BAY INVESTMENT GROUP, LLC. 250 E. WISCONSIN AVE. SUITE 1500 MILWAUKEE, WI 53202. REGISTERED INVESTMENT ADVISORY. POSITION - CHAIRMAN AND CEO. START - 2002. 18 HOURS DEVOTED PER WEEK. 5 HOURS/WEEK DURING TRADING. DUTIES - SEPERATELY MANAGED CAPITAL MARKETS WEALTH MANAGEMENT RIA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 1982-05-17 |
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