Jeffrey J. Kormos
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey John Kormos, who also goes by Jeff Jj Kormos, Jeff Kormos, Jj Kormos, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1981. Jeffrey had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - December 31, 2015
REGAL SECURITIES, INC.
August 9, 1994 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
March 16, 1993 - August 9, 1994
G.R. STUART & COMPANY, INC.
January 28, 1993 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
May 31, 1989 - December 14, 1992
FIRST AFFILIATED SECURITIES
April 16, 1987 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
December 23, 1986 - March 11, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
January 27, 1986 - January 2, 1987
FIRST AFFILIATED SECURITIES, INC.
November 27, 1984 - January 21, 1986
QUINN & CO., INC.
December 3, 1981 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/27/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
