James Allen Fischer

Current Employers

Employment History

• 07/2014 → Present
  Regulus Financial Group, Llc
  Kentwood, MI
• 07/2014 → Present
  Regal Investment Advisors, Llc
  Kentwood, MI

Previous Registrations

• 2009-04-17 → 2014-07-17
  Mml Investors Services, Llc
  Waukesha, WI
  Madison, WI
  Waukesha, WI
  New Berlin, WI
• 2001-11-23 → 2009-04-08
  Thrivent Investment Management Inc.
  Waukesha, WI
  Pewaukee, WI
  Waukesha, WI

Other Businesses

(1)NAME: JAMES A. FISCHER INV REL: Y ADD: 15730 W. NATIONAL AVE. NEW BERLIN, WI 53151 NATURE: IND LIFE INS POSITION: AGENT START DATE: 2009 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING:2 (2)NAME: JAMES A. FISCHER - GREYHOUND OWNER INV REL: N ADD: S52 W23022 HUNTERS HOLLOW WAUKESHA, WI 53189 NATURE: GREYHOUND OWNER- PASSIVE OWNERSHIP START DATE: 1980 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: NONE (3)NAME: JT ENERGY PARTNERS INC INV REL: N ADD: PO BOX 2570 HICKORY NORTH CAROLINA 98603 NATURE: OWN AND DEVELOP OIL AND NATURAL GAS POSITION: OWNER START DATE: 8/2012 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 3 (4) JAMES A FISCHER - OIL WELL - HAVE AN OVERRIDING INTEREST OF APPROXIMATELY 42%. IT IS PASSIVE IN NATURE AND HAS ANNUAL GROSS REVIEW OF APPROXIMATELY $25,000. (5) VARIOUS INSURANCE COMPANIES- APPOINTED TO DO RISK BUSINESS. (6) FISCHER RISK MANAGEMENT, LLC- OWNER, PASS THROUGH ENTITY USED FOR TAX PURPOSES ON INCOME RECEIVED THROUGH INSURANCE APPOINTMENTS. (7)PASSIVE OWNER OF LOUIS-JAMES, LLC. A SALES & MARKETING STARTUP COMPANY THAT MANUFACTURES OUTDOOR INDUSTRY PRODUCTS. THIS IS LOCATED AT 27022 SHERWOOD FOREST DR, WATERFORD, WI, 53185. THIS IS NOT INVESTMENT RELATED. HE DEVOTES APPROX 2 HOURS PER MONTH, AND 0 DURING TRADING HOURS. THIS STARTED ON 7/8/2019.

Exams

• S66 Uniform Combined State Law Examination
  2002-12-29
• S63 Uniform Securities Agent State Law Examination
  1987-06-03

Designations