Carlos N. Sabadie
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.
Carlos Noel Sabadie JR, who also goes by Carlos Noel Sabadie, Chuck Sabadie Jr, Chuck Sabadie, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1982. Carlos had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2017 - November 2, 2018
REGAL INVESTMENT ADVISORS LLC
March 10, 2016 - May 16, 2016
QUESTAR ASSET MANAGEMENT, INC.
March 7, 2016 - May 16, 2016
QUESTAR CAPITAL CORPORATION
June 5, 2015 - February 5, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
June 1, 2015 - February 5, 2016
ALLSTATE FINANCIAL SERVICES, LLC
March 3, 2006 - May 22, 2015
LINCOLN INVESTMENT
October 10, 2005 - May 22, 2015
LINCOLN INVESTMENT
December 17, 2003 - September 26, 2005
PLANMEMBER SECURITIES CORPORATION
August 18, 2003 - November 4, 2003
VOYA FINANCIAL PARTNERS, LLC
October 5, 1999 - December 19, 2003
STUART SECURITIES CORP.
April 1, 1998 - October 14, 1999
VOYA FINANCIAL ADVISORS, INC.
March 31, 1997 - April 9, 1998
SUNAMERICA SECURITIES, INC.
August 2, 1996 - March 26, 1997
VOYA FINANCIAL ADVISORS, INC.
December 18, 1995 - August 9, 1996
WMA SECURITIES, INC.
October 23, 1991 - December 31, 1993
NORTH AMERICAN MANAGEMENT, INC.
April 6, 1982 - October 22, 1991
PFS INVESTMENTS INC.
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
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
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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