Daniel M. Micha

REGAL BAY INVESTMENT GROUP

Milwaukee, WI 53202

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CRD#: 1074542

Professional summary

Daniel Markus Micha was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel Markus Micha is a registered financial advisor currently at REGAL BAY INVESTMENT GROUP, LLC located in Milwaukee, Wisconsin.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Daniel has worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Daniel Markus Micha's CRS (Customer Relationship Summary).

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

Current

May 14, 2018 - Present

REGAL BAY INVESTMENT GROUP, LLC

Office #1: 250 E. Wisconsin Ave Suite 1500, Milwaukee, WI 53202

RIA

CRD#: 121829

Milwaukee, WI

Past

November 1, 2012 - April 30, 2018

REGAL BAY INVESTMENT GROUP, LLC

RIA

CRD#: 121829

MILWAUKEE, WI

Past

August 29, 2008 - July 11, 2012

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MILWAUKEE, WI

Past

August 29, 2008 - July 11, 2012

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MILWAUKEE, WI

Past

August 12, 2006 - September 8, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MEQUON, WI

Past

May 3, 1999 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

MEQUON, WI

Past

June 8, 1983 - March 30, 1999

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(5/14/2018)

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: 6/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 9/19/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/17/1999

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/5/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/7/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

REGAL BAY INVESTMENT GROUP, LLC

CRD#: 121829 / SEC#:

Wisconsin

Registered Investment Advisory firm - (6/20/2003 Approved)

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Contact information

Main Address

250 East Wisconsin Avenue Suite 1500, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 225-3551

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	146
AUM (Assets Under Management)	$ 47,600,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Daniel M. Micha

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Markus Micha's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGAL BAY INVESTMENT GROUP, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

LUTHERAN BROTHERHOOD SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/1999

Series 63

Date: 6/7/1983

Series 31

Date: 9/19/2003

Series 7

Date: 5/17/1999

Series 22

Date: 10/5/1987

Series 6

Date: 6/7/1983

Current Firm

REGAL BAY INVESTMENT GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGAL BAY INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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