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Current Employers
Regal Investment Advisors Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-01-05
NC RA APPROVED 2012-10-05
  • TX RA
    APPROVED_RES
    Since 2021-01-05
  • NC RA
    APPROVED
    Since 2012-10-05

Branch Locations

3307 Springs Rd Ne, Hickory, NC 28601 • United States

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

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Regal Investment Advisors Llc Kentwood MI 08/2012 Present
Regulus, Llc Kentwood MI 08/2014 Present
Previous Registrations
Other Businesses

1)ON THE ADVICE OF MY CPA I SET UP THE CORPORATION HIRA, INC DBA INSURANCE RESOURCES OF AMERICA. THIS CORPORATION IS NOW TJH ENTERPRISES, INC. I AM AN OFFICER OF THIS CORPORATION. I RUN MY PAYROLL AND BUSINESS EXPENSES THROUGH THE CORPORATION WHICH IS LOCATED AT 3307 SPRINGS RD. NE, HICKORY, NC 28601. I DEVOTE NO TIME TO THIS CORPORATION OTHER THAN SIGNING CHECKS TO COVER EXPENSES AND NO TIME IS SPENT DURING SECURITIES TRADING HOURS. THERE ARE NO INVESTORS IN THE CORPORATION. I RECEIVE $100 A WEEK FROM TJH ENTERPRISES, INC. 2)BRIGHTSTAR PROPERTIES, LLC, HOLDS SOME OF MY VACATION PROPERTIES. I HAVE RENTAL PROPERTIES IN NORTH CAROLINA INCLUDED IN BRIGHTSTAR PROPERTIES, LLC. THESE PROPERTIES DO PRODUCE INCOME. THESE PROPERTIES ARE NEVER RENTED TO CLIENTS. I HAVE RENTAL PROPERTIES IN NORTH CAROLINA THAT ARE NOT IN AN LLC. THESE PROPERTIES DO PRODUCE RENTAL INCOME. THESE PROPERTIES ARE NEVER RENTED TO CLIENTS. I HAVE A RENTAL COMPANY IN NORTH CAROLINA WHICH MANAGES MY PROPERTIES IN NORTH CAROLINA. NO HOURS SPENT DURING SECURITIES TRADING HOURS. 3)I AM AN INDEPENDENT INSURANCE AGENT, TERRY D. HOLLAR, SALES AND MARKETING OF INSURANCE PRODUCTS. I AM REGISTERED WITH VARIOUS INSURANCE COMPANIES. APPROXIMATELY 240 HOURS DEVOTED TO THE BUSINESS PER MONTH. 4)I ALSO OWN RENTAL PROPERTIES IN NORTH CAROLINA AND I HAVE A FIRM, MILLER PROPERTIES, MANAGE THEM. 5)Owner and president of Grandview Homeowners Association. 525 12th st SW Hickory NC 28602. 828-256-3200. Real Estate Agent. Hours per month: 2 Hours during trading hours: 0. I am the owner of 24 condos which make up a 30 unit condo complex. I rent the 24 units out a apartments. I have been elected president of the association. No compensation for being the president. I do receive monies from the rental of the condos.This is not investment related. 6) JT Energy is an S Corporation which I am owner and Jim Fischer is my partner. I am treasurer of this coporation. We lease property in Kentucky to drill for oil. WE each invested approximately $85,000. We did not purchase the land, we were granted lease rights on the land. There was no purchase so there was no literature provided to myself or Jim. There is no sell of securities and zero hours are spent on this corporation during securities trading hours. We are starting to get some oil and natural gas production and do expect revenue. There have been no shares sold. 7) St. Stephens Lutheran Day School. 2304 Springs Rd NE, Hickory, NC 28601. School for children. Not investment related. 8 hours per month, 0 during trading hours. Start: 7/1/2019. Officer/Director. No compensation. Oversees committee that does rules and regulations for the day school.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-29
S63 Uniform Securities Agent State Law Examination 1987-06-15
  • S66 Uniform Combined State Law Examination
    2003-10-29
  • S63 Uniform Securities Agent State Law Examination
    1987-06-15
Designations

View on SEC IAPD

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