JG
Jeffrey L. Gibbens
REGAL INVESTMENT ADVISORS LLC
Erie, PA 16506
Some features on this profile are disabled
CRD#: 1482752
JG
Professional summary
Jeffrey Lloyd Gibbens is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Erie, Pennsylvania and REGULUS FINANCIAL GROUP, LLC located in Erie, Pennsylvania.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Jeffrey has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.PROFESSIONAL MUSICIAN, SOLE PROPRIETOR.OWN 100%.PLAY TRUMPET,FLUGELHORN, BASS AND DRUMS. ANNUAL INCOME AVERAGES $10000 TO $12000. DEVOTE 12 HRS/MO. ESTABLISHED CONNECTION 1980.2.AFEA AMERICAN FINANCIAL EDUCATION ALLIANCE- A NON-PROFIT 501 ( C) 3 ORGANIZATION. CHAPTER PRESIDENT INSTRUCTOR FINANCIAL COACH. CONDUCT FREE PUBLIC EDUCATIONAL SEMINARS AT LOCAL LIBRARIES AND UNIVERSITIES. DEVOTE 1 TO 20% PER MONTH.FINANCIAL INTEREST $199 PER MONTH MEMBERSHIP FEE. ESTABLISHED 01/2014, WILL BEGIN WORKSHOP 03/2014. 3. VOTED IN AS A TRUSTEE FOR LOCAL 17, AMERICAN FEDERATION OF MUSICIANS- NON PAID POSITION, VOLUNTEER.WILL PROVIDE COUNSEL AND ADVICE ON MATTERS THAT AFFECT THE MUSICIANS OF OUR LOCAL UNION. DEVOTE 1 TO 20%. NO COMPENSATION. ESTABLISHED 01/2016. 4.LIFE INSURANCE AND ANNUITY SALES. INSURANCE AGENT. OFFER INSURANCE PRODUCTS WHEN SUITABLE AND APPROPRIATE TO MY CLIENTS AND PROSPECTS. DEVOTE 41 TO 60%. ANNUAL INCOME 41 TO 60%. FINANCIAL INTEREST APPROX $2000. ESTABLISHED 11/15/1986.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Lloyd Gibbens'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 West Ridge Rd, Erie, PA 16506RIA
CRD#: 125004
Erie, PA
Current
April 17, 2018 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 4509 W Ridge Rd, Erie, PA 16506BD
CRD#: 150631
Erie, PA
Past
January 6, 2010 - April 17, 2018
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
MILLCREEK TOWNSHIP, PA
Past
January 6, 2010 - April 16, 2018
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
MILLCREEK TOWNSHIP, PA
Past
June 22, 2006 - December 31, 2009
GWN SECURITIES INC.
RIA
CRD#: 128929
ERIE, PA
Past
July 23, 2004 - December 31, 2009
GWN SECURITIES INC.
BD
CRD#: 128929
PALM BEACH GARDENS, FL
Past
October 14, 2003 - July 23, 2004
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
ERIE, PA
Past
October 14, 2003 - July 23, 2004
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
September 15, 2003 - October 14, 2003
1ST DISCOUNT BROKERAGE, INC.
RIA
CRD#: 39164
ERIE, PA
Past
August 21, 2002 - October 14, 2003
1ST DISCOUNT BROKERAGE, INC.
BD
CRD#: 39164
LAKE WORTH, FL
Past
July 24, 1997 - August 21, 2002
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
November 12, 1986 - July 25, 1997
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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(1/9/2025)
RR
Colorado(4/17/2018)
RR
New York(4/17/2018)
RR
North Carolina(6/8/2018)
RR
Ohio(4/17/2018)
RR
Pennsylvania(4/17/2018)
IAR
Pennsylvania(4/17/2018)
Exams
State Security Law Exam
State Security Law 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.
