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JS

Jerry L. Steele

Some features on this profile are disabled
CRD#: 1417444
JS

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.

Jerry Lee Steele was a registered financial professional .

Jerry is a previously registered financial professional and started their career in finance in 1986. Jerry had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.
LICENSED AS AN INDEPENDENT INSURANCE AGENT FOR THE PURPOSE OF SELLING FIXED INSURANCE PRODUCTS. NAME: EAGLE FINANCIAL GROUP, INC; INVESTMENT RELATED: NO; ADDRESS: 6284 W US HWY 36 IN DANVILLE, IN; NATURE: GENERAL FINANCIAL PLANNING INCLUDING THE MARKETING OF INSURANCE-BASED PRODUCTS; POSITION: PRESIDENT AND PRINCIPAL AGENT; START: 1-24-02; HRS/MONTH: 60 HRS, 32 DURING SECURITIES TRADING; DUTIES: CHIEF OPERATING OFFICER OF "S" CORP, INCLUDING SALES AND MARKETING OF LIFE INSURANCE AND ANNUITIES. NAME: ADVANTAGE INSURANCE MARKETING, LLC; INVESTMENT RELATED: NO; ADDRESS: 6284 W US HWY 36 IN DANVILLE, IN; NATURE: GENERAL FINANCIAL PLANNING INCLUDING THE MARKETING OF INSURANCE-BASED PRODUCTS; POSITION: PRESIDENT AND PRINCIPAL AGENT; START: 6-17-02; HRS/MONTH: 12 HRS, 6 DURING SECURITIES TRADING; DUTIES: CHIEF OPERATING OFFICER OF "S" CORP, INCLUDING SALES AND MARKETING OF LIFE INSURANCE AND ANNUITIES

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

August 31, 2023 - November 3, 2023

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
Danville, IN
Past

October 4, 2018 - September 1, 2023

AMERICAN EQUITY INVESTMENT CORPORATION

BD
CRD#: 40199
NEW ALBANY, IN
Past

October 3, 2018 - December 5, 2023

AMERICAN CAPITAL MANAGEMENT, INC.

RIA
CRD#: 122452
Danville, IN
Past

October 17, 2013 - October 2, 2018

FORESTERS EQUITY SERVICES, INC.

RIA
CRD#: 18464
DANVILLE, IN
Past

April 10, 2012 - October 16, 2013

AMERICAN ELITE RETIREMENT

RIA
CRD#: 152499
DANVILLE, IN
Past

April 1, 2009 - October 8, 2010

FORESTERS EQUITY SERVICES, INC.

RIA
CRD#: 18464
DANVILLE, IN
Past

December 9, 2008 - December 31, 2008

FORESTERS EQUITY SERVICES, INC.

RIA
CRD#: 18464
DANVILLE, IN
Past

December 9, 2008 - October 2, 2018

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

May 15, 2008 - October 1, 2008

CAPITAL SELECT INVESTMENTS CORP.

BD
CRD#: 30649
DANVILLE, IN
Past

April 25, 2007 - May 5, 2008

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
DANVILLE, IN
Past

April 23, 2007 - May 5, 2008

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
DANVILLE, IN
Past

August 23, 2004 - December 5, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
DANVILLE, IN
Past

August 18, 2004 - December 5, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

February 4, 2003 - August 18, 2004

UNITED SECURITIES ALLIANCE, INC.

RIA
CRD#: 36487
DANVILLE, IN
Past

November 30, 2001 - August 18, 2004

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past

January 16, 1995 - November 29, 2001

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

January 13, 1986 - January 5, 1995

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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
IAR
Series 65
Date: 12/30/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/7/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/21/1988
Investment Company Products/Variable Contracts 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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