Rondall J. Bostian

Some features on this profile are disabled

CRD#: 1102312

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.

Rondall Jay Bostian, who also goes by Ron J Bostian, Ron Bostian, was a registered financial professional .

Rondall is a previously registered financial professional and started their career in finance in 1983. Rondall had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ron J Bostian | Ron Bostian

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

February 6, 2007 - November 10, 2009

REGAL ADVISORY SERVICES, INC.

RIA

CRD#: 123842

GLENVIEW, IL

Past

January 3, 2007 - March 24, 2017

REGAL SECURITIES, INC.

CRD#: 7297

DALLAS, TX

Past

June 23, 2006 - December 31, 2006

SAMCO FINANCIAL SERVICES, INC.

RIA

CRD#: 30108

DALLAS, TX

Past

May 8, 2006 - December 31, 2006

SAMCO FINANCIAL SERVICES, INC.

CRD#: 30108

DALLAS, TX

Past

February 3, 2003 - May 8, 2006

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

July 7, 2000 - February 3, 2003

SERVICE ASSET MANAGEMENT COMPANY

CRD#: 47157

AUSTIN, TX

Past

January 22, 1998 - September 27, 2000

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

January 19, 1995 - February 12, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

October 24, 1994 - February 6, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 1, 1992 - October 11, 1994

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

February 22, 1989 - February 10, 1990

BANCTEXAS SECURITIES INC.

CRD#: 17572

Past

June 15, 1987 - March 16, 1988

BRYAN, WORLEY & CO., INC.

CRD#: 12992

Past

February 3, 1987 - May 26, 1987

MCG PORTFOLIO MANAGEMENT CORP.

CRD#: 7070

Past

October 26, 1984 - December 16, 1986

BRYAN, WORLEY & CO., INC.

CRD#: 12992

Past

July 7, 1983 - October 5, 1984

POWELL & SATTERFIELD, INC.

CRD#: 7030

Past

March 24, 1983 - June 30, 1983

TOWNES & CO., INC.

CRD#: 7034

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 ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA

Registered Investment Advisory firm - (7/12/2010 Approved)

Arizona

Registered Investment Advisory firm - (8/14/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Colorado

Registered Investment Advisory firm - (8/2/2010 Terminated)

Connecticut

Registered Investment Advisory firm - (7/13/2010 Terminated)

Delaware

Registered Investment Advisory firm - (7/13/2010 Terminated)

Florida

Registered Investment Advisory firm - (8/14/2012 Terminated)

Georgia

Registered Investment Advisory firm - (9/24/2010 Terminated)

Hawaii

Registered Investment Advisory firm - (12/31/2010 Terminated)

Idaho

Registered Investment Advisory firm - (7/14/2010 Terminated)

Illinois

Registered Investment Advisory firm - (8/14/2012 Terminated)

Indiana

Registered Investment Advisory firm - (7/13/2010 Terminated)

Iowa

Registered Investment Advisory firm - (7/13/2010 Terminated)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (7/13/2010 Terminated)

Louisiana

Registered Investment Advisory firm - (7/21/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/3/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/14/2010 Terminated)

Mississippi

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (7/13/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (7/14/2010 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2012 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/13/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (9/21/2012 Terminated)

New Mexico

Registered Investment Advisory firm - (7/13/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Ohio

Registered Investment Advisory firm - (7/13/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (8/14/2012 Terminated)

Oregon

Registered Investment Advisory firm - (7/15/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (8/12/2010 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Utah

Registered Investment Advisory firm - (8/12/2010 Terminated)

Vermont

Registered Investment Advisory firm - (8/14/2012 Terminated)

Virginia

Registered Investment Advisory firm - (7/13/2010 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/13/2010 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 66

Date: 6/18/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/28/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 3/22/1983

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/1986

General Securities Principal Examination

Current Firm

REGAL ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA

Registered Investment Advisory firm - (7/12/2010 Approved)

Arizona

Registered Investment Advisory firm - (8/14/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Colorado

Registered Investment Advisory firm - (8/2/2010 Terminated)

Connecticut

Registered Investment Advisory firm - (7/13/2010 Terminated)

Delaware

Registered Investment Advisory firm - (7/13/2010 Terminated)

Florida

Registered Investment Advisory firm - (8/14/2012 Terminated)

Georgia

Registered Investment Advisory firm - (9/24/2010 Terminated)

Hawaii

Registered Investment Advisory firm - (12/31/2010 Terminated)

Idaho

Registered Investment Advisory firm - (7/14/2010 Terminated)

Illinois

Registered Investment Advisory firm - (8/14/2012 Terminated)

Indiana

Registered Investment Advisory firm - (7/13/2010 Terminated)

Iowa

Registered Investment Advisory firm - (7/13/2010 Terminated)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (7/13/2010 Terminated)

Louisiana

Registered Investment Advisory firm - (7/21/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/3/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/14/2010 Terminated)

Mississippi

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (7/13/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (7/14/2010 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2012 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/13/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (9/21/2012 Terminated)

New Mexico

Registered Investment Advisory firm - (7/13/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Ohio

Registered Investment Advisory firm - (7/13/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (8/14/2012 Terminated)

Oregon

Registered Investment Advisory firm - (7/15/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (8/12/2010 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Utah

Registered Investment Advisory firm - (8/12/2010 Terminated)

Vermont

Registered Investment Advisory firm - (8/14/2012 Terminated)

Virginia

Registered Investment Advisory firm - (7/13/2010 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/13/2010 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

950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771

Mailing Address

Phone number

(877) 488-6537

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (8/12/2025)

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 113,536,443

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

Rondall J. Bostian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGAL SECURITIES, INC.

SAMCO FINANCIAL SERVICES, INC.

SAMCO FINANCIAL SERVICES, INC.

PENSON FINANCIAL SERVICES, INC.

SERVICE ASSET MANAGEMENT COMPANY

PENSON FINANCIAL SERVICES, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

PRUDENTIAL EQUITY GROUP, LLC

HILLTOP SECURITIES INC.

BANCTEXAS SECURITIES INC.

BRYAN, WORLEY & CO., INC.

MCG PORTFOLIO MANAGEMENT CORP.

BRYAN, WORLEY & CO., INC.

POWELL & SATTERFIELD, INC.

TOWNES & CO., INC.

Primary Firm SEC Registration

REGAL ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/18/2004

Series 63

Date: 10/27/1992

SIE

Date: 3/24/2017

Series 3

Date: 10/28/1986

Series 7

Date: 2/16/1985

Series 52

Date: 3/22/1983

Series 24

Date: 6/6/1986

Current Firm

REGAL ADVISORY SERVICES, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGAL ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors