Malcolm N. Daniel

Some features on this profile are disabled

CRD#: 1035134

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.

Malcolm Noel Daniel SR, who also goes by Malcolm Noel Daniel, Mallie Daniel, was a registered financial professional .

Malcolm is a previously registered financial professional and started their career in finance in 1982. Malcolm had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Malcolm Noel Daniel | Mallie Daniel

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 8, 2014 - December 18, 2018

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

HOUSTON, TX

Past

July 16, 2007 - January 2, 2015

WEALTH CREATION ADVISORS, INC

RIA

CRD#: 144609

HOUSTON, TX

Past

June 23, 2004 - May 22, 2006

ONEAMERICA SECURITIES, INC.

CRD#: 4173

HOUSTON, TX

Past

August 28, 2001 - July 1, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

May 10, 1999 - August 27, 2001

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

July 27, 1998 - May 26, 1999

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

CHICAGO, IL

Past

October 22, 1996 - August 10, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

October 30, 1995 - November 7, 1996

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

August 28, 1995 - October 18, 1995

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

January 14, 1991 - August 23, 1995

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

January 9, 1990 - October 30, 1990

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

March 30, 1982 - March 6, 1990

G. R. PHELPS & CO., INC.

CRD#: 173

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".

REGAL INVESTMENT ADVISORS LLC

CRD#: 125004 / SEC#: 801-71923

RIA

Registered Investment Advisory firm - (10/19/2010 Approved)

Alaska

Registered Investment Advisory firm - (10/21/2010 Terminated)

Florida

Registered Investment Advisory firm - (10/21/2010 Terminated)

Indiana

Registered Investment Advisory firm - (10/21/2010 Terminated)

Michigan

Registered Investment Advisory firm - (11/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (10/22/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (10/21/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

Ohio

Registered Investment Advisory firm - (10/21/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/22/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (10/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/21/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/24/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/20/1982

General Securities Representative Examination

Current Firm

REGAL INVESTMENT ADVISORS LLC

CRD#: 125004 / SEC#: 801-71923

RIA

Registered Investment Advisory firm - (10/19/2010 Approved)

Alaska

Registered Investment Advisory firm - (10/21/2010 Terminated)

Florida

Registered Investment Advisory firm - (10/21/2010 Terminated)

Indiana

Registered Investment Advisory firm - (10/21/2010 Terminated)

Michigan

Registered Investment Advisory firm - (11/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (10/22/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (10/21/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

Ohio

Registered Investment Advisory firm - (10/21/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/22/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (10/21/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (10/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/21/2010 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2687 44th Street Se, Kentwood, MI 49512

Mailing Address

Phone number

(616) 224-2204

Established

Firm type

Fiscal year end

# of Employees

118

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISOR CHOICE PROGRAM (4/25/2025)

LIONSHARE ADV PART 2A DISCLOSURE BROCHURE (4/25/2025)

REGAL INVESTMENT ADVISORS LLC ADV BROCHURE (4/25/2025)

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	Cover Page	Report
12/06/2023	Cover Page	Report
12/06/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Malcolm N. Daniel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH CREATION ADVISORS, INC

ONEAMERICA SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

AMERITAS INVESTMENT COMPANY, LLC

OGILVIE SECURITY ADVISORS CORPORATION

PRINCIPAL SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

WMA SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

VERAVEST INVESTMENTS, INC.

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/24/2004

Series 63

Date: 5/12/1982

Series 7

Date: 3/20/1982

Current Firm

REGAL INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REGAL INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors