JF
James A. Fischer
REGAL INVESTMENT ADVISORS LLC
Pewaukee, WI 53072
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CRD#: 1594785
JF
Professional summary
James Allen Fischer, ChFC®, CLU® is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Pewaukee, Wisconsin and REGULUS FINANCIAL GROUP, LLC located in Pewaukee, Wisconsin.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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)NAME: JAMES A. FISCHER INV REL: Y ADD: 15730 W. NATIONAL AVE. NEW BERLIN, WI 53151 NATURE: IND LIFE INS POSITION: AGENT START DATE: 2009 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING:2
(2)NAME: JAMES A. FISCHER - GREYHOUND OWNER INV REL: N ADD: S52 W23022 HUNTERS HOLLOW WAUKESHA, WI 53189 NATURE: GREYHOUND OWNER- PASSIVE OWNERSHIP START DATE: 1980 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: NONE
(3)NAME: JT ENERGY PARTNERS INC INV REL: N ADD: PO BOX 2570 HICKORY NORTH CAROLINA 98603 NATURE: OWN AND DEVELOP OIL AND NATURAL GAS POSITION: OWNER START DATE: 8/2012 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 3
(4) JAMES A FISCHER - OIL WELL - HAVE AN OVERRIDING INTEREST OF APPROXIMATELY 42%. IT IS PASSIVE IN NATURE AND HAS ANNUAL GROSS REVIEW OF APPROXIMATELY $25,000.
(5) VARIOUS INSURANCE COMPANIES- APPOINTED TO DO RISK BUSINESS.
(6) FISCHER RISK MANAGEMENT, LLC- OWNER, PASS THROUGH ENTITY USED FOR TAX PURPOSES ON INCOME RECEIVED THROUGH INSURANCE APPOINTMENTS.
(7)PASSIVE OWNER OF LOUIS-JAMES, LLC. A SALES & MARKETING STARTUP COMPANY THAT MANUFACTURES OUTDOOR INDUSTRY PRODUCTS. THIS IS LOCATED AT 27022 SHERWOOD FOREST DR, WATERFORD, WI, 53185. THIS IS NOT INVESTMENT RELATED. HE DEVOTES APPROX 2 HOURS PER MONTH, AND 0 DURING TRADING HOURS. THIS STARTED ON 7/8/2019.
CRS (Client Relationship Summary) - RIA
Click below to view James Allen Fischer'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®
Experience
Current
July 25, 2014 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: N27 W23957 Paul Rd Suite 102, Pewaukee, WI 53072RIA
CRD#: 125004
Pewaukee, WI
Current
July 15, 2014 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: N27 W23957 Paul Rd Suite 102, Pewaukee, WI 53072BD
CRD#: 150631
Pewaukee, WI
Past
April 17, 2009 - July 17, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEW BERLIN, WI
Past
April 17, 2009 - July 17, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW BERLIN, WI
Past
November 23, 2001 - April 8, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
WAUKESHA, WI
Past
June 9, 1987 - April 8, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
WAUKESHA, WI
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
Illinois(7/15/2014)
RR
North Carolina(2/10/2015)
RR
Wisconsin(7/15/2014)
IAR
Wisconsin(7/25/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)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
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Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Pewaukee, WI 53072TRUST BUT VERIFY
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