David B. Cairns
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.
David Buckley Cairns was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 23 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2021 - October 29, 2021
REGAL INVESTMENT ADVISORS LLC
June 13, 2016 - December 17, 2019
ALIIER LLC
November 10, 2014 - October 29, 2021
REGULUS FINANCIAL GROUP, LLC
September 5, 2014 - July 20, 2016
ALIIER LLC
February 22, 2012 - December 18, 2012
PATRICK CAPITAL MARKETS, LLC
August 3, 2010 - December 6, 2010
DUNHAM
August 2, 2010 - December 6, 2010
DUNHAM
May 18, 2009 - March 2, 2010
ALT FUND DISTRIBUTORS LLC
December 24, 2008 - May 14, 2009
KCD FINANCIAL, INC.
April 5, 2007 - June 26, 2008
ALPS DISTRIBUTORS, INC.
January 31, 2006 - September 14, 2006
DUNHAM
November 14, 2005 - November 22, 2005
CITY NATIONAL ROCHDALE
November 14, 2005 - February 3, 2006
CNR SECURITIES, LLC
May 2, 2005 - November 8, 2005
SEI INVESTMENTS DISTRIBUTION CO.
June 30, 2004 - May 5, 2005
INVEST FINANCIAL CORPORATION
February 5, 2004 - May 14, 2004
WADDELL & REED
February 5, 2004 - May 14, 2004
IVY DISTRIBUTORS, INC.
April 9, 1997 - December 1, 2003
COREBRIDGE CAPITAL SERVICES, INC.
April 24, 1995 - April 21, 1997
BOFA DISTRIBUTORS, INC.
June 9, 1993 - April 5, 1995
FIRST DOMINION CAPITAL CORP.
November 22, 1991 - August 25, 1992
PACIFICA FUNDS DISTRIBUTOR, INC.
May 17, 1990 - March 19, 1991
INVESCO DISTRIBUTORS, INC.
November 1, 1988 - October 18, 1989
CAIRNS & COMPANY
June 24, 1985 - July 7, 1988
THE PIONEER GROUP, INC.
May 21, 1985 - June 12, 1985
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
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
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.
