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Phillip V. Renz

REGAL SECURITIES
GLENVIEW, IL 60025
Some features on this profile are disabled
CRD#: 1183869
PR

Professional summary

Phillip Victor Renz is a registered financial professional currently at REGAL SECURITIES, INC. located in Glenview, Illinois.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 1983. Phillip has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Phillip Victor Renz's CRS (Customer Relationship Summary).
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

August 1, 2005 - Present

REGAL SECURITIES, INC.

Office #1: 950 N. Milwaukee Ave 102, Glenview, IL 60025
BD
CRD#: 7297
GLENVIEW, IL
Past

July 29, 1985 - August 1, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

August 20, 1984 - July 29, 1985

NIELSON AND CLARK INC.

BD
CRD#: 13508
Past

September 23, 1983 - August 14, 1984

DILLON SECURITIES, INC.

BD
CRD#: 10660

State Registrations and Notice Filings

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

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
Alaska
(8/1/2005)
RR
Arizona
(8/1/2005)
RR
California
(8/1/2005)
RR
Florida
(8/1/2005)
RR
Idaho
(8/1/2005)
RR
Missouri
(3/26/2025)
RR
Montana
(6/8/2022)
RR
Nevada
(8/1/2005)
RR
New York
(2/16/2021)
RR
Oregon
(8/1/2005)
RR
Utah
(8/1/2005)
RR
Washington
(8/29/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/21/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/7/1986
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.

CRD#: 7297 / SEC#: , 8-21765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOKIOS, GEORGECHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER718774
VILLAFLOR, ROBERT FUSTERSHAREHOLDER2374555
AKSOMITAITE, SKAISTEVICE PRESIDENT AND FINOP4852873
BOKIOS, EUGENIA THEADORA MSSENIOR VICE PRESIDENT & GENERAL COUNSEL2392199
BOKIOS, VICTORIA THEADORATREASURER/SECRETARY2421318
ENGELBRECHT, JEREMY AARONCHIEF COMPLIANCE OFFICER (INTERIM)3277607
HERRIN, SHAWN EVERETTPRESIDENT2311476

Disclosures

Regulatory Event11
Arbitration4

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.

Company Information

REGAL SECURITIES, INC.

CRD#: 7297Glenview, IL 60025

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