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Current Employers
Regal Investment Advisors Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2026-02-11
TX RA APPROVED 2026-02-09
  • LA RA
    APPROVED
    Since 2026-02-11
  • TX RA
    APPROVED
    Since 2026-02-09

Branch Locations

2109 Tower Dr, Monroe, LA 71201 • 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
Regions Bank Monroe LA 04/2013 04/2022
Cetera Investment Services St. Cloud MN 04/2013 04/2022
Cetera Investment Advisers Llc Monroe LA 01/2014 04/2022
The Prudential Insurance Company Of America Monroe LA 05/2022 08/2023
Pruco Securities Llc. Monroe LA 05/2022 08/2023
Ashton Smith Shelter Monroe LA 08/2023 11/2023
Valic Financial Advisors, Inc Houston TX 11/2023 02/2026
Agia Houston TX 12/2023 02/2026
Regulus Financial Group Kentwood MI 02/2026 Present
Regal Investment Advisors Kenwood MI 02/2026 Present
  • 04/2013 → 04/2022
    Regions Bank
    Monroe, LA
  • 04/2013 → 04/2022
    Cetera Investment Services
    St. Cloud, MN
  • 01/2014 → 04/2022
    Monroe, LA
  • 05/2022 → 08/2023
    The Prudential Insurance Company Of America
    Monroe, LA
  • 05/2022 → 08/2023
    Monroe, LA
  • 08/2023 → 11/2023
    Ashton Smith Shelter
    Monroe, LA
  • 11/2023 → 02/2026
    Houston, TX
  • 12/2023 → 02/2026
    Agia
    Houston, TX
  • 02/2026 → Present
    Regulus Financial Group
    Kentwood, MI
  • 02/2026 → Present
    Regal Investment Advisors
    Kenwood, MI
Previous Registrations
Other Businesses

FRENCHMAN'S BEND COUNTRY CLUBMONROE, LA. 71203 POSITION: part time employee NATURE: golf course INVESTMENT RELATED: No NUMBER OF HOURS: 15: START DATE: 06/01/2024 ADDRESS: 1484 Frenchmans Bend Rd, Monroe LA 71203, United States DESCRIPTION: work on Saturday and Sunday afternoon in Pro Shop and on course riding in golf cart making sure play moves in orderly fashion.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-16
S63 Uniform Securities Agent State Law Examination 2000-09-13
  • S66 Uniform Combined State Law Examination
    2011-11-16
  • S63 Uniform Securities Agent State Law Examination
    2000-09-13
Other Names
  • Tommy Ditta
  • Thomas Anthony Ditta
  • Thomas Ditta

View on SEC IAPD

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