JK
John D. Kelly
REGAL INVESTMENT ADVISORS
Monroe, LA 71201
Some features on this profile are disabled
CRD#: 1531103
JK
Professional summary
John Dennis Kelly is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Monroe, Louisiana and REGULUS FINANCIAL GROUP, LLC located in Monroe, Louisiana.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. John has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Dennis Kelly'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
June 28, 2021 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2109 Tower Drive, Monroe, LA 71201RIA
CRD#: 125004
Monroe, LA
Current
June 28, 2021 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 2109 Tower Drive, Monroe, LA 71201BD
CRD#: 150631
Monroe, LA
Past
April 1, 2021 - June 28, 2021
CARRINGTON ADVISORS, LLC
RIA
CRD#: 311522
MONROE, LA
Past
February 13, 2014 - April 1, 2021
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
MONROE, LA
Past
November 27, 2013 - April 1, 2021
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
MONROE, LA
Past
May 3, 2012 - November 27, 2013
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
MONROE, LA
Past
September 27, 2007 - December 31, 2013
ONYX WEALTH ADVISORS, INC.
RIA
CRD#: 119558
DALLAS, TX
Past
September 25, 2007 - May 4, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
BD
CRD#: 103722
MONROE, LA
Past
April 11, 2002 - September 27, 2007
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MONROE, LA
Past
April 2, 1998 - September 27, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MONROE, LA
Past
September 16, 1994 - April 2, 1998
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 25, 1986 - September 16, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 25, 1986 - September 16, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(6/28/2021)
RR
California(6/28/2021)
RR
Florida(6/28/2021)
RR
Illinois(6/28/2021)
RR
Kansas(10/23/2023)
RR
Louisiana(6/28/2021)
IAR
Louisiana(6/28/2021)
RR
Michigan(4/13/2023)
RR
Mississippi(1/8/2026)
RR
New Jersey(1/8/2026)
RR
North Carolina(6/28/2021)
RR
Ohio(6/29/2021)
RR
Tennessee(10/23/2023)
RR
Texas(6/28/2021)
IAR
Texas(6/28/2021)
RR
Utah(1/8/2026)
RR
Wisconsin(6/28/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Monroe, LA 71201TRUST BUT VERIFY
Monitor John Kelly
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
