Berthold P. Regar
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.
Berthold Phillip Regar, who also goes by Bert Regar, Berthold Philip Regar, was a registered financial professional .
Berthold is a previously registered financial professional and started their career in finance in 1982. Berthold had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2011 - December 11, 2015
NORTHWEST INVESTMENT ADVISORS, INC.
December 15, 2009 - December 31, 2009
CAPITAL FINANCIAL SERVICES, INC.
March 7, 2007 - December 8, 2009
CAPITAL FINANCIAL SERVICES, INC.
July 23, 2002 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
January 2, 2001 - July 25, 2002
METROPOLITAN INVESTMENT SECURITIES, INC.
July 26, 1996 - February 9, 2001
WOODBURY FINANCIAL SERVICES, INC.
October 31, 1995 - July 31, 1996
BMA FINANCIAL SERVICES, INC.
February 14, 1982 - October 30, 1995
WADDELL & REED
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
Current Firm
NORTHWEST INVESTMENT ADVISORS, INC.
CRD#: 109737 / SEC#: , 8-65282
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUBB, SEAN MICHAEL | PRESIDENT/SECRETARY/CCO/CFO | 4110305 |
Regulatory assets under management
| Total Number of Accounts | 95 |
| AUM (Assets Under Management) | $ 35,259,644 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
