REGAL INVESTMENT ADVISORS LLC of KENTWOOD, MI is an SEC-registered investment adviser (CRD 125004). Regulatory assets under management: $2.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| John Anthony Kailunas | CEO; MANAGING MEMBER AND CEO; MEMBER | — |
| Brian Dale Yarch | MANAGING MEMBER | — |
| Donald Nate Carlson | EXECUTIVE VICE PRESIDENT | — |
| Thomas Jack Bonnington | CHIEF COMPLIANCE OFFICER | — |
| William Samuel Best | CHIEF OPERATING OFFICER | — |
| TAUNT JOSEPH LAWRENCE | CHIEF INVESTMENT OFFICER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER/CFO | — |
| KAILUNAS JOHN ANTHONY | MANAGING MEMBER AND CEO; MANAGING MEMBER AND PRESIDENT; PRESIDENT, COO | — |
| YARCH BRIAN DALE | MANAGING MEMBER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER; MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER (+1 more) | — |
| YARCH BRIAN D | MANAGING MEMBER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | — |
| CARLSON DONALD NATE | EXECUTIVE VICE PRESIDENT | — |
| TASSONI JAMES CARROLL | CHIEF INVESTMENT OFFICER | — |
| CZIZEK ANNE CHRISTINE | CHIEF COMPLIANCE OFFICER | — |
| DEANGELIS MARK JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| Bonnington Thomas Jack | CHIEF COMPLIANCE OFFICER | — |
| WESTIN BENJAMIN ERIC | CHIEF COMPLIANCE OFFICER | — |
| BEST WILLIAM SAMUEL | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-04-30 | regulatory | THE ALLEGATIONS ARE FAILING TO (I) PROVIDE ADVISORY SERVICES TO CERTAIN CLIENTS AFTER THEIR INVESTMENT ADVISER REPRESENTATIVES ("IARS") LEFT REGAL, AND (II) DISCLOSE CONFLICTS OF INTEREST ARISING FROM COMPENSATION RECEIVED FROM AN AFFILIATED PORTFOLIO MANAGER. | Final | $150K |
| — | regulatory | — | — | — |
Showing 15 of 33 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| PEWAUKEE | WI | 5 | 262-901-0288 |
| ERIE | PA | 5 | 8148330440 |
| SUDBURY | MA | 3 | (508) 353-8503 |
| MONROE | MI | 3 | 734-457-9123 |
| CANYON LAKE | CA | 3 | 9512443720 |
| MORRISTOWN | NJ | 3 | (862) 668-5022 |
| GRAND RAPIDS | MI | 2 | 6164259407 |
| PLYMOUTH | IN | 2 | 574-936-9910 |
| — | — | 2 | 815-997-7766 |
| MONROE | LA | 2 | 9196225916 |
| — | — | 2 | (808) 292-0890 |
| SILVER SPRING | MD | 2 | 301-588-0514 |
| GREENVILLE | SC | 2 | 8646312456 |
| DENVER | CO | 2 | 303-475-6406 |
| WESLEY CHAPEL | FL | 2 | (352) 424-6119 |