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David George Garcia

Regal Advisory Services, Inc.

Glenview, IL

CRD 3197680

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Employer firm

Regal Advisory Services, Inc. CRD 123842

$121M regulatory AUM 1 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Regal Advisory Services, Inc.

950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2010-06-29
  • IL RA
    APPROVED
    Since 2010-06-29

Branch Locations

950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771 • 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
Regal Discount Securities, Inc. Glenview IL 02/1998 Present
  • 02/1998 → Present
    Regal Discount Securities, Inc.
    Glenview, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-28
S63 Uniform Securities Agent State Law Examination 1999-04-23
  • S66 Uniform Combined State Law Examination
    2010-06-28
  • S63 Uniform Securities Agent State Law Examination
    1999-04-23

View on SEC IAPD

Nearby Firms

COYLE
ARIS INVESTING
GLENVIEW FINANCIAL GROUP LLC

Nearby Investors

DEREK MICHAEL KYLER
REBECCA Carroll FRAGASSI
JOHN GARDNER FINLEY

Nearby Offices

COYLE · GLENVIEW, IL
ARIS INVESTING · GLENVIEW, IL
GLENVIEW FINANCIAL GROUP LLC · GLENVIEW, IL

More in Glenview, IL

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