RS
Russell A. Smith
REGAL INVESTMENT ADVISORS LLC
Canyon Lake, CA 92587
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CRD#: 1124019
RS
Professional summary
Russell Alan Smith, CFP®, ChFC®, CLU® is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Canyon Lake, California and REGULUS FINANCIAL GROUP, LLC located in Canyon Lake, California.
Russell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Russell has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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.
TORIMAX FINANCIAL GROUP, INC.; NOT INV RELATED; CANYON LAKE, CA; SALES OF FIXED PRODUCTS; PRESIDENT & CEO; STATE DATE 01/1999; 80HRS/MNTH 50 HRS DURING SECURITY TRADING HRS: 2)TORIMAX FINANCIAL GROUP, INC; NON-INV. RELATED; CANYON LAKE, CA; SALE OF FIXED DEFERRED AND IMMEDIATE ANNUITIES WITH THE CARRIER ALLIANZ; PRESIDENT & CEO; NO NEW BUSINESS TRANSACTED; SINCE 1999; 80 HRS/MONTH; 50 HRS/MONTH DURING SECURITIES TRADING HOURS:
CRS (Client Relationship Summary) - RIA
Click below to view Russell Alan Smith'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®
CFP®
Start date: 1988
Experience
Current
January 30, 2017 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 31740 Railroad Cyn Rd Suite 2a, Canyon Lake, CA 92587RIA
CRD#: 125004
Canyon Lake, CA
Current
January 30, 2017 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 31740 Railroad Canyon Road #2a, Canyon Lake, CA 92587BD
CRD#: 150631
Canyon Lake, CA
Past
July 8, 2003 - January 30, 2017
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CANYON LAKE, CA
Past
July 8, 2003 - January 30, 2017
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
CANYON LAKE, CA
Past
July 8, 1997 - July 8, 2003
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
CANYON LAKE, CA
Past
August 16, 1995 - July 8, 2003
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
April 8, 1991 - August 16, 1995
CORPORATE BENEFIT SECURITIES, INC.
BD
CRD#: 13975
MISSION VIEJO, CA
Past
November 30, 1985 - March 21, 1991
GAF FINANCIAL AND INSURANCE SERVICES
BD
CRD#: 14123
Past
October 16, 1984 - March 5, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
July 29, 1983 - November 17, 1986
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
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.
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
Arizona(4/13/2017)
RR
California(1/30/2017)
IAR
California(1/30/2017)
RR
Colorado(4/13/2017)
RR
Florida(5/8/2017)
RR
Hawaii(4/13/2017)
RR
Idaho(9/4/2019)
RR
Michigan(5/8/2017)
RR
Montana(4/13/2017)
RR
Nevada(4/13/2017)
RR
New Mexico(9/24/2018)
RR
Ohio(4/4/2017)
RR
Oklahoma(7/13/2018)
RR
Oregon(11/20/2018)
RR
Texas(4/13/2017)
IAR
Texas(1/11/2021)
RR
Utah(4/13/2017)
RR
Virginia(5/8/2017)
RR
Washington(5/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Canyon Lake, CA 92587TRUST BUT VERIFY
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