John D. Kelly

REGAL INVESTMENT ADVISORS LLC

Monroe, LA 71201

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CRD#: 1531103

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.

1.STRATEGIC ADVISORS, INC / YES / 2109 TOWER DRIVE, MONROE, LA, 71201 / INVESTMENTS / OWNER / 08/86 / 10 / 10 / OWNER -- 2. TIGER BEND PROPERTIES OF MONROE LLC - RENTAL PROPERTY OWN 100% BY JOAN D & VICKI M KELLY; NO COMPENSATION; 5 HOURS/MONTH OUTSIDE OF NORMAL WORKWEEK. 3. NORTHSTAR/CLAH - INSURANCE AGENCY USED TO PURCHASE LIFE INSURANCE, LTC AND PREMIUM FINANCE CARES - AGENT - TIME VARIES FROM 1-10 HOURS/MONTH. 4. DRAGONSTONE CONSULTANTS LLC; 2109 TOWER DRIVE, MONROE, LA 71201; INVESTMENT RELATED; 15 HOURS/MONTH; START 1/12/2021; INSURANCE AGENT; COMMISSION; LICENSE FOR LIFE AND HEALTH INSURANCE 5. REGAL INVESTMENT ADVISORS - INVESTMENT ADVISORY BUSINESS 6. REGULUS ADVISORS - BROKER/DEALER BUSINESS 7. INTERNATIONAL STUDENT FOUNDATION: 501C3 CHARITABLE ORGANIZATION. BOARD MEMBER, APPROX. 10 HOURS PER MONTH, NO COMPENSATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Dennis Kelly's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 28, 2021 - Present

REGAL INVESTMENT ADVISORS LLC

Office #1: 2109 Tower Drive, Monroe, LA 71201

RIA

CRD#: 125004

Monroe, LA

Current

June 28, 2021 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 2109 Tower Drive, Monroe, LA 71201

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

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.

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.

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.

CRD#: 2882

MONROE, LA

Past

September 16, 1994 - April 2, 1998

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

August 25, 1986 - September 16, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

August 25, 1986 - September 16, 1994

EQUITABLE ADVISORS, LLC

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".

REGAL INVESTMENT ADVISORS LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arkansas
(6/28/2021)

California
(6/28/2021)

Florida
(6/28/2021)

Illinois
(6/28/2021)

Kansas
(10/23/2023)

Louisiana
(6/28/2021)

IAR

Louisiana
(6/28/2021)

Michigan
(4/13/2023)

North Carolina
(6/28/2021)

Ohio
(6/29/2021)

Tennessee
(10/23/2023)

Texas
(6/28/2021)

IAR

Texas
(6/28/2021)

Wisconsin
(6/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/18/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/22/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGAL INVESTMENT ADVISORS LLC

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISOR CHOICE PROGRAM (4/25/2025)

LIONSHARE ADV PART 2A DISCLOSURE BROCHURE (4/25/2025)

REGAL INVESTMENT ADVISORS LLC ADV BROCHURE (4/25/2025)

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	Cover Page	Report
12/06/2023	Cover Page	Report
12/06/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

John D. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Dennis Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGULUS FINANCIAL GROUP, LLC

CARRINGTON ADVISORS, LLC

REGULUS FINANCIAL GROUP, LLC

REGAL INVESTMENT ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

ONYX WEALTH ADVISORS, INC.

CAMBRIDGE LEGACY SECURITIES L.L.C.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WALNUT STREET SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/18/1998

Series 63

Date: 4/8/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1999

Series 6

Date: 8/22/1986

Series 24

Date: 1/24/2000

FINRA

Current Firm

REGAL INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REGAL INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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