KS
Kevin J. Stemberger
REGAL ADVISORY SERVICES
FARMINGTON HILLS, MI 48334
Some features on this profile are disabled
CRD#: 1016446
KS
Professional summary
Kevin John Stemberger is a registered financial advisor currently at REGAL ADVISORY SERVICES, INC. located in Farmington Hills, Michigan and REGAL SECURITIES, INC. located in Farmington Hills, Michigan.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kevin has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name of Business: KJ Stemberger LLC
Address: 16151 Homestead Circle, Northville, MI 68167
Nature of Business: Accounting
Title: Managing Member
Investment Related? NO
Start Date:8/2012
#hours devoted to OBA: 4hrs/month
#hours during trading: None
Name of Business:NOBLE CAPITAL PARTNERS, LLC
Address: 31550 NORTHWESTERN HWY., STE 101 FARMINGTON HILLS, MI 48334
Nature of Business: DBA for all revenue earned through Regal
Title: Partner
Investment Related? YES
Start Date: 1/2006
#hours devoted to OBA: 160/month
#hours during trading: 160/month
Name of Business:NATIONAL CANCER INSTITUTE
Address: 9609 Medical Center Drive, Rockville, MD 20850
Nature of Business: Committee member of NCI Council of Research Advocates
Title: Committee Member
Investment Related? NO
Start Date: 8/2020
#hours devoted to OBA: 10/month
#hours during trading: 5/calendar quarter
CRS (Client Relationship Summary) - RIA
Click below to view Kevin John Stemberger's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2015 - Present
REGAL ADVISORY SERVICES, INC.
Office #1: 31550 Northwestern Highway Ste 101, Farmington Hills, MI 48334RIA
CRD#: 123842
FARMINGTON HILLS, MI
Current
August 31, 2012 - Present
REGAL SECURITIES, INC.
Office #1: 31550 Northwestern Highway, Ste. 101, Farmington Hills, MI 48334BD
CRD#: 7297
Farmington Hills, MI
Past
September 27, 2010 - September 4, 2012
COMMERCE WEALTH ADVISERS, LLC
RIA
CRD#: 144449
FARMINGTON HILLS, MI
Past
September 27, 2010 - September 4, 2012
DEWAAY FINANCIAL NETWORK, LLC
BD
CRD#: 30767
FARMINGTON HILLS, MI
Past
April 9, 2010 - September 27, 2010
EQUITAS AMERICA, LLC
RIA
CRD#: 39806
FARMINGTON HILLS, MI
Past
July 28, 2004 - September 27, 2010
EQUITAS AMERICA, LLC
BD
CRD#: 39806
FARMINGTON HILLS, MI
Past
May 15, 1990 - July 23, 2004
J.W. KORTH & COMPANY
BD
CRD#: 26455
LANSING, MI
Past
March 6, 1987 - May 15, 1990
J. W. KORTH & COMPANY
BD
CRD#: 17090
FARMINGTON HILLS, MI
Past
March 20, 1986 - January 28, 1987
J.W. KORTH & COMPANY, INC.
BD
CRD#: 13139
Past
January 7, 1982 - May 4, 1982
CITISTREET EQUITIES LLC
BD
CRD#: 7447
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/4/2013)
RR
California(10/1/2021)
RR
Colorado(11/8/2017)
RR
Illinois(8/31/2012)
IAR
Illinois(8/17/2021)
RR
Indiana(8/31/2012)
RR
Michigan(8/31/2012)
IAR
Michigan(3/31/2015)
RR
Minnesota(5/4/2021)
RR
North Carolina(1/31/2022)
RR
Ohio(1/12/2015)
RR
Wisconsin(1/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771
Mailing Address
Phone number
(877) 488-6537
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 289 |
| AUM (Assets Under Management) | $ 113,536,443 |
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.
