GT
Gregory D. Tower
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CRD#: 1052728
GT
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.
Gregory Dawson Tower, who also goes by Greg Tower, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1982. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Greg Tower
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.
1. PA INTERSCHOLASTIC ATHLETIC ASSOC. CORP. I AM A SPORTS OFFICIAL FOR FOOTBALL & SWIMMING/DIVING AT PA SCHOOLGAMES AND MEETS. DEVOTE 1 TO 20% PER MONTH. ESTABLISHED CONNECTION 02/02/1998.2. GREGORY D. TOWER INSURANCE. SALES & SERVICE OF LIFE, HEALTH, & ANNUITY. SOLE PROPRIETOR. DEVOTE 15 HRS/MO. FINANCIAL INTEREST $20,000. COMPENSATION IS FROM INSURANCE SALES. ESTABLISHED CONNECTION 04/15/2001.2.AFEA AMERICAN FINANCIAL EDUCATION ALLIANCE A NON PROFIT 501 ( C) 3 ORGANIZATION. CHAPETER PRESIDENT INSTRUCTOR FINANCIAL COACH. CONDUCT FREE PUBLIC EDUCATIONAL SEMINARS AT LOCAL LIBRARIES AND UNIVERSITIES. DEVOTE 1 TO 20% PER MONTH.FINANCIAL INTEREST $199 PER MONTH MEMBERSHIP FEES. ESTABLISHED 01/2014. TO BEGIN WORKSHOP 03/2014.3. PRESQUE ISLE TAX SERVICES.SOLE PROPRIETOR.AGENT. REFER TAX CLIENTS. DEVOTE 1 TO 20% PER MONTH.ANNUAL INCOME 1 TO 20%. FINANCIAL INTEREST $600. ESTABLISHED 02/2011. 4. AFM LOCAL #17 UNION BOARD MEMBER FOR LOCAL #17, AMERICAN FEDERATION OF MUSICIANS. ATTEND MEETINGS, APPROVE MINUTES AND EXPENDITURES. DISCUSS MATTERS PERTINENT TO THE BUSINESS OF MUSIC. DEVOTE 1 TO 20%. ANNUAL INCOME 1 TO 20%. WILL ESTABLISHCONNECTION 01/2018. 5. BOARD OF ELECTIONS.LOCAL GOVERNMENT. JUDGE OF ELECTIONS. TO ENSURE FAIR AND IMPARTIAL VOTING PROCEDURES IN FAIRVIEW TOWNSHIP, ERIE COUNTY, PA DISTRICT #5. OCCURS EVERY PRIMARY AND GENERAL ELECTION UNTIL REPLACED, RE-ELECTED OR APPOINTED.DEVOTE 1 TO 20%. ANNUAL INCOME 1 TO 20%. ESTABLISHED CONNECTION 11/07/2017. 6) Texas Association of Sports Officials; 1221 West Campbell Rd, Ste 141, Richardson, TX 75080; Not investment related; 20 hours per month, 0 during trading; Start 8/25/2022; Fee compensation; Officiate football games.
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®
NoneExperience
Past
April 18, 2018 - January 3, 2024
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Erie, PA
Past
April 17, 2018 - January 3, 2024
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Erie, PA
Past
May 6, 2010 - April 17, 2018
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
MILLCREEK TOWNSHIP, PA
Past
May 3, 2010 - April 16, 2018
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
MILLCREEK TOWNSHIP, PA
Past
November 21, 2005 - May 5, 2010
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
FAIRVIEW, PA
Past
November 7, 2005 - May 5, 2010
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FAIRVIEW, PA
Past
July 25, 2002 - December 1, 2005
BLUE VASE SECURITIES, LLC
RIA
CRD#: 46765
FAIRVIEW, PA
Past
May 21, 2001 - December 1, 2005
BLUE VASE SECURITIES, LLC
BD
CRD#: 46765
WASHINGTON, PA
Past
July 7, 1995 - April 24, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 11, 1993 - September 18, 1995
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
August 3, 1982 - February 18, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
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)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
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
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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)
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.
