TD
Thomas A. Ditta
REGAL INVESTMENT ADVISORS LLC
Monroe, LA 71201
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CRD#: 1304018
TD
Professional summary
Thomas Anthony Ditta, who also goes by Thomas Ditta, Tommy Ditta, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Monroe, Louisiana and REGULUS FINANCIAL GROUP, LLC located in Kentwood, Michigan.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Ditta | Tommy Ditta
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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Anthony Ditta'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
February 9, 2026 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2109 Tower Dr, Monroe, LA 71201RIA
CRD#: 125004
Monroe, LA
Current
February 9, 2026 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 2687 44th Street, Se, Suite 101, Kentwood, MI 49512BD
CRD#: 150631
Kentwood, MI
Past
December 5, 2023 - February 11, 2026
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
MONROE, LA
Past
December 5, 2023 - February 11, 2026
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BATON ROUGE, LA
Past
May 10, 2022 - September 20, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Monroe, LA
Past
May 10, 2022 - September 20, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Monroe, LA
Past
January 21, 2014 - April 29, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BASTROP, LA
Past
April 11, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
BASTROP, LA
Past
April 11, 2013 - April 29, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
BASTROP, LA
Past
March 30, 2011 - January 31, 2013
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
BATON ROUGE, LA
Past
February 9, 2011 - January 31, 2013
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BATON ROUGE, LA
Past
February 24, 2000 - August 5, 2003
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
July 14, 1998 - October 2, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 10, 1991 - August 19, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
June 10, 1991 - August 19, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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
Arkansas(2/9/2026)
RR
California(2/26/2026)
RR
Florida(2/26/2026)
RR
Illinois(2/26/2026)
RR
Kansas(2/26/2026)
RR
Louisiana(2/9/2026)
IAR
Louisiana(2/11/2026)
RR
Michigan(2/26/2026)
RR
Mississippi(2/26/2026)
RR
New Jersey(2/26/2026)
RR
North Carolina(2/26/2026)
RR
Ohio(2/26/2026)
RR
Tennessee(2/26/2026)
RR
Texas(2/9/2026)
IAR
Texas(2/9/2026)
RR
Utah(2/26/2026)
RR
Wisconsin(2/26/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
