RQ
Regina Quigley
STRATEGIC ADVISERS LLC
LAGUNA BEACH, CA
Some features on this profile are disabled
CRD#: 1122069
RQ
Professional summary
Regina Quigley, who also goes by Regina Dorothy Quigley, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Laguna Beach, California and FIDELITY BROKERAGE SERVICES LLC located in Newport Beach, California.
Regina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Regina has worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 22, Series 9, Series 10 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Regina Dorothy Quigley
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.
OBA-111905|OrgNmn:Overbrook Street Rental Property|Org Addr:Riverhead,New York,US|OBA Nature:Single Family Home Owned by Re|Invst Rel:Y|Title:Property Owner|Duties:Maintain the grounds and respond to tenant inquiries and do repairs as needed. |StrtDt:|TotHrs/mon:4|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Regina Quigley'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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 1075 Northern Blvd, Roslyn, NY 11576-1681Office #3: 2900 W. Alameda Ave Ste 150, Burbank, CA 91505-4241Office #4: 1600 Newport Center Dr Ste 100, Newport Beach, CA 92660-6208RIA
CRD#: 104555
LAGUNA BEACH, CA
Current
January 26, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1600 Newport Ctr Dr Ste 100, Newport Beach, CA 92660Office #2: 2900 W. Alameda Ave, Ste 150, Burbank, CA 91505-4216Office #3: 1075 Northern Blvd, Roslyn, NY 11576BD
CRD#: 7784
Newport Beach, CA
Past
February 5, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
WEST HOLLYWOOD, CA
Past
April 22, 2019 - January 6, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SAN MATEO, CA
Past
December 9, 2011 - January 6, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
SAN MATEO, CA
Past
December 7, 2011 - July 31, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SAN MATEO, CA
Past
December 7, 2011 - January 6, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
SAN MATEO, CA
Past
June 29, 2005 - September 1, 2011
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN MATEO, CA
Past
December 12, 2000 - September 1, 2011
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SAN MATEO, CA
Past
June 9, 1999 - November 20, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
September 2, 1998 - September 29, 1998
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
June 2, 1997 - August 24, 1998
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
May 9, 1997 - June 19, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 25, 1993 - May 4, 1995
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
October 1, 1993 - October 25, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
August 21, 1989 - October 22, 1991
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
August 11, 1984 - July 14, 1989
RELATED EQUITIES CORPORATION
BD
CRD#: 11218
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/7/2022)
RR
Alaska(1/7/2022)
RR
Arizona(1/7/2022)
RR
Arkansas(1/7/2022)
RR
California(1/26/2021)
IAR
California(3/31/2025)
RR
Colorado(1/7/2022)
RR
Connecticut(1/7/2022)
RR
Delaware(1/7/2022)
RR
District of Columbia(1/7/2022)
RR
Florida(1/7/2022)
RR
Georgia(1/7/2022)
RR
Hawaii(1/7/2022)
RR
Idaho(1/7/2022)
RR
Illinois(1/7/2022)
RR
Indiana(1/7/2022)
RR
Iowa(1/7/2022)
RR
Kansas(1/7/2022)
RR
Kentucky(1/7/2022)
RR
Louisiana(1/7/2022)
RR
Maine(1/7/2022)
RR
Maryland(1/7/2022)
RR
Massachusetts(1/7/2022)
RR
Michigan(1/7/2022)
RR
Minnesota(1/7/2022)
RR
Mississippi(1/7/2022)
RR
Missouri(1/7/2022)
RR
Montana(1/7/2022)
RR
Nebraska(1/7/2022)
RR
Nevada(1/7/2022)
RR
New Hampshire(1/7/2022)
RR
New Jersey(1/7/2022)
RR
New Mexico(1/7/2022)
RR
New York(1/7/2022)
IAR
New York(3/31/2025)
RR
North Carolina(1/7/2022)
RR
North Dakota(1/7/2022)
RR
Ohio(1/10/2022)
RR
Oklahoma(1/7/2022)
RR
Oregon(1/7/2022)
RR
Pennsylvania(1/7/2022)
RR
Puerto Rico(1/7/2022)
RR
Rhode Island(1/7/2022)
RR
South Carolina(1/7/2022)
RR
South Dakota(1/7/2022)
RR
Tennessee(1/7/2022)
RR
Texas(1/7/2022)
IAR
Texas(3/31/2025)
RR
Utah(1/7/2022)
RR
Vermont(1/7/2022)
RR
Virgin Islands(1/7/2022)
RR
Virginia(1/7/2022)
RR
Washington(1/7/2022)
RR
West Virginia(1/7/2022)
RR
Wisconsin(1/7/2022)
RR
Wyoming(1/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
