Malcolm N. Daniel
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - December 18, 2018
REGAL INVESTMENT ADVISORS LLC
July 16, 2007 - January 2, 2015
WEALTH CREATION ADVISORS, INC
June 23, 2004 - May 22, 2006
ONEAMERICA SECURITIES, INC.
August 28, 2001 - July 1, 2002
WALNUT STREET SECURITIES, INC.
May 10, 1999 - August 27, 2001
AMERITAS INVESTMENT COMPANY, LLC
July 27, 1998 - May 26, 1999
OGILVIE SECURITY ADVISORS CORPORATION
October 22, 1996 - August 10, 1998
PRINCIPAL SECURITIES, INC.
October 30, 1995 - November 7, 1996
VOYA FINANCIAL ADVISORS, INC.
August 28, 1995 - October 18, 1995
WMA SECURITIES, INC.
January 14, 1991 - August 23, 1995
SECURIAN FINANCIAL SERVICES, INC.
January 9, 1990 - October 30, 1990
VERAVEST INVESTMENTS, INC.
March 30, 1982 - March 6, 1990
G. R. PHELPS & CO., 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
