Randall W. Maguire

REGAL SECURITIES

GLENVIEW, IL 60025

Some features on this profile are disabled

CRD#: 1228631

Professional summary

Randall Wayne Maguire is a registered financial professional currently at REGAL SECURITIES, INC. located in Glenview, Illinois.

Randall is registered as a RR (Registered Representative) and started their career in finance in 1984. Randall has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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 Randall Wayne Maguire'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

July 2, 2007 - Present

REGAL SECURITIES, INC.

Office #1: 950 N. Milwaukee Ave 102, Glenview, IL 60025

CRD#: 7297

GLENVIEW, IL

Past

July 13, 1999 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SIMI VALLEY, CA

Past

July 9, 1992 - June 17, 1999

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

March 13, 1992 - May 28, 1992

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

May 17, 1989 - June 30, 1992

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CARPINTERIA, CA

Past

July 31, 1985 - April 22, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 28, 1984 - August 25, 1986

FIRST UNITED FUND,LTD.

CRD#: 14426

State Registrations and Notice Filings

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

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

California
(7/2/2007)

Colorado
(2/14/2022)

Florida
(10/4/2021)

New York
(2/13/2022)

Texas
(2/1/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/9/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

REGAL SECURITIES, INC.

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

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

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 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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BOKIOS, GEORGE	CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER	718774
VILLAFLOR, ROBERT FUSTER	SHAREHOLDER	2374555
AKSOMITAITE, SKAISTE	VICE PRESIDENT AND FINOP	4852873
BOKIOS, EUGENIA THEADORA MS	SENIOR VICE PRESIDENT & GENERAL COUNSEL	2392199
BOKIOS, VICTORIA THEADORA	TREASURER/SECRETARY	2421318
ENGELBRECHT, JEREMY AARON	CHIEF COMPLIANCE OFFICER (INTERIM)	3277607
HERRIN, SHAWN EVERETT	PRESIDENT	2311476

Disclosures

Regulatory Event	11
Arbitration	4

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

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Randall W. Maguire

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randall Wayne Maguire's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTREET SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

PLANMEMBER SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

FIRST UNITED FUND,LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/1998

Series 63

Date: 8/21/1985

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1983

Series 8

Date: 4/9/1998

FINRA

Nasdaq Stock Market

Current Firm

REGAL SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGAL SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors