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Jeffrey E. Place

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CRD#: 1195404
JP

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.

Jeffrey Erling Place was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 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)

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

October 24, 2018 - January 18, 2021

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
KENTWOOD, MI
Past

March 6, 2008 - October 26, 2016

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

March 6, 2008 - October 26, 2016

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

December 12, 2006 - January 11, 2008

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
N. BARRINGTON, IL
Past

October 25, 2002 - November 21, 2006

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

June 9, 1998 - December 10, 2001

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

October 17, 1997 - May 28, 1998

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL
Past

October 2, 1996 - July 22, 1997

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

May 21, 1991 - July 24, 1996

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

April 11, 1991 - May 8, 1991

FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED

BD
CRD#: 14538
TAMPA, FL
Past

October 27, 1989 - April 18, 1991

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

November 25, 1983 - April 27, 1990

INTEGRATED RESOURCES MARKETING, INC.

BD
CRD#: 6546
NEW YORK, NY
Past

October 19, 1983 - October 24, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403

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.

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/26/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/5/2007
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/1995
General Securities Principal Examination

Current Firm

RF
REGULUS FINANCIAL GROUP, LLC
REGULUS ADVISORS, LLC | REGULUS, LLC | REGULUS FINANCIAL GROUP, LLC

CRD#: 150631 / SEC#: , 8-68275

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

Main Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Mailing Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Phone number
(616) 224-2204
Established
Michigan since 12/28/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
REGAL HOLDINGS OF AMERICA, LLCMEMBER
CARLSON, DONALD NATE MR.PRESIDENT2903454
LUTTRULL, KELLEYFINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER7363208
VEENSTRA, JILL ANNECHIEF COMPLIANCE OFFICER/AMLCO3222590

Disclosures

Regulatory Event5

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

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

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