JR
James R. Reim
REGAL INVESTMENT ADVISORS LLC
Erie, PA 16506
Some features on this profile are disabled
CRD#: 1303142
JR
Professional summary
James Richard Reim, who also goes by Jim Reim, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Erie, Pennsylvania and REGULUS FINANCIAL GROUP, LLC located in Erie, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Reim
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.
1.METHODIST TOWERS BOARD OF DIRECTORS. INDEPENDANT LIVING SENIOR CENTER. VOLUNTEER / TREASURER. NON- PROFIT. DEVOTE 4 HRS. A MONTH.ESTAB. 1999. PLAN TO CONTINUE BOTH.I DEAL WITH MANY SENORS AND THIS IS ONE WAY TO GIVE BACK TO THE COMMUNITY.2. THE INVESTMENT CENTER OF ERIE. DBA. SOLE PROPRIETOR. SENIOR FINANCIAL ADVISOR. FINANCIAL INTEREST $50,000. COMPENSATION IS FROM COMMISSIONS AND FEES. ESTABLISHED CONNECTION 05/2009.3. LOESEL-SCHAAF INS. AGENCY.LTC INS SALES. AGENT. USE THIS AGENCY TO BUY LTC INS. FOR MY CLIENTS IF INTERESTED. DEVOTE 1 TO 20% PER MONTH. ESTABLISHED 12/10. 5. GBU FINANCIAL LIFE. GREATER BENEFICIAL UNION OF PITTSBURGH. INDEPENDENT INSURANCE AGENCY. AGENT. FRATERNAL BENEFITS, LIFE INSURANCE, ANNUITIES. A FRATERNAL BENEFITS SOCIETY. BUSINESS DONE THROUGH EXECUTIVE BROKERAGE SERVICE. DBA ALREADY APPROVED. DEVOTE 1 TO 20 % PER MONTH.EARN 1 TO 20 % ANNUALLY. ESTABLISHED CONNECTION 06/27/2011.6. GENWORTH FINANCIAL, LONG TERM CARE PROVIDER. AGENT. DEVOTE 1 TO 20% PER MONTH.EARN 1 TO 21% INCOME FROM COMMISSIONS. ESTABLISHED 2012. 7. INDEPENDENT FIXED INSURANCE BUSINESS.AGENT. SELL LIFE INSURANCE & FIXED ANNUITIES. DECVOTE 1 TO 20% PER MONTH.EARN 1 TO 20% INCOME FROM COMMISSIONS. ESTABLISHED 09/2009. 8. MUTUAL OF OMAHA. AGENT. LONG TERM CARE INSURANCE PROVIDER.DEVOTE 1 TO 20% PER MONTH.EARN 1 TO 20% ANNUAL INCOME FROM COMMISSIONS.ESTABLISHED 2012. 9.FIRST UNITED METHODIST CHURCH BOARD OF TRUSTEES. DEVOTE 1 TO 20% PER MONTH. 10.AFEA- AMERICAN FINANCIAL EDUCATION ALLIANCE- A NON- PROFIT 501 (C) 3.INSTRUCTIONAL , FINANCIAL COACH. CONDUCT FREE PUBLIC EDUCATIONAL SEMINARS AT LOCAL LIBRARIES AND UNIVERSITIES. DEVOTE 1 TO 20% PER MONTH.OWN 1 TO 20%. ESTABLISHED 01/2015.
CRS (Client Relationship Summary) - RIA
Click below to view James Richard Reim'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®
NoneExperience
Current
April 17, 2018 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 4509 W. Ridge Rd, Erie, PA 16506RIA
CRD#: 125004
Erie, PA
Current
April 19, 2018 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 4509 W Ridge Rd, Erie, PA 16506BD
CRD#: 150631
Erie, PA
Past
May 11, 2009 - April 17, 2018
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
MILLCREEK TOWNSHIP, PA
Past
May 11, 2009 - April 16, 2018
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
MILLCREEK TOWNSHIP, PA
Past
April 2, 2007 - April 14, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ERIE, PA
Past
April 2, 2007 - April 14, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ERIE, PA
Past
November 10, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ERIE, PA
Past
September 6, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ERIE, PA
Past
January 17, 1984 - August 31, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(4/19/2018)
RR
California(4/19/2018)
RR
Florida(4/19/2018)
RR
Georgia(4/24/2018)
RR
Kentucky(4/19/2018)
RR
New York(4/19/2018)
RR
North Carolina(4/19/2018)
RR
Ohio(4/19/2018)
IAR
Pennsylvania(4/17/2018)
RR
Pennsylvania(4/19/2018)
RR
South Carolina(4/19/2018)
RR
Texas(1/9/2019)
RR
Washington(4/19/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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
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.
