PO
Phillip M. Owens
REGAL INVESTMENT ADVISORS LLC
Grand Rapids, MI 49525
Some features on this profile are disabled
CRD#: 1697253
PO
Professional summary
Phillip Max Owens is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Grand Rapids, Michigan and REGULUS FINANCIAL GROUP, LLC located in Greenville, Michigan.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Phillip has worked at 6 firms and has passed the 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.
Business Name: Owens Financial Group, LLC - Investment Related: Yes - Address: 4829 E. Beltline NE, Suite 100, Grand Rapids, MI 49525 - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Insurance Agent/Registered Representative/Investment Advisor Representative - Start Date: 11/13/2023 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. Business Name: Owens Properties, LLC - Investment Related: No - Address: 4829 E. Beltline NE, Suite 100, Grand Rapids, MI 49525 - Nature of Business: Owns farm and hunting land - Title or Relationship: Part Owner - Start Date: 10/8/2020 - Hours per month: 5 - Hours per month during trading hours: 5 - Duties: Part owner of hunting and farming land. Business Name: TruAim Properties, LLC - Investment Related: No - Address: 6472 Tanglewood Dr SE, Grand Rapids, MI 49546 - Nature of Business: Partnership that owns office buiding - Title or Relationship: Part Owner - Start Date: 10/22/2019 - Hours per month: 1 - Hours per month during trading hours: 0 - Duties: Part owner of office building. Business Name: Fred Haight Agency - Investment Related: No - Address: 219 Superior St, Muir, MI 48860 - Nature of Business: Property and Casualty Insurance Agency - Title or Relationship: License Only Agent (P&C) - Start Date: 10/04/2012 - Hours per month: 4 - Hours per month during trading hours: 4 - Duties: Refer Business to agency to address client property and casualty business only. Business Name: Lincoln Lake Baptist Youth Camp - Investment Related: No - Address: 15113 Lincoln Lake Ave, Gowen, MI 49326 - Nature of Business: Non-profit Corporation - Title or Relationship: Executive Board Member - Start Date: 1/1/2018 - Hours per month: 5 - Hours per month during trading hours: 5 - Duties: Attend meetings for leadership and direction of camp. Business Name: Greater Armory Association - Investment Related: No - Address: 1650 House St, Belmont, MI 49306 - Nature of Business: Army National Guard - Title or Relationship: Board Member - Start Date: 1/1/2018 - Hours per month: 1 - Hours per month during trading hours: 1 - Duties: Attend meetings. Business Name: 126th Regiment Association - Investment Related: No - Address: 1200 44th St SW, Wyoming, MI 49509 - Nature of Business: Army National Guard - Title or Relationship: Board Member - Start Date: 1/1/2018 - Hours per month: 1 - Hours per month during trading hours: 1 - Duties: Attend meetings. Business Name: Pines Office Park Condo Association - Investment Related: No - Address: 4829 East Beltline NE, Grand Rapids, MI 49525 - Nature of Business: Office Condo Association - Title or Relationship: Board Member - Start Date: 4/2/2025 - Hours per month: 4 - Hours per month during trading hours: 2 - Duties: Attend meetings and assist vice-president.
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Max Owens'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
November 13, 2023 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 4829 E Beltline Ave Ne, Suite 100, Grand Rapids, MI 49525RIA
CRD#: 125004
Grand Rapids, MI
Current
November 13, 2023 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 309 1/2 Lafayette St Ste 201, Greenville, MI 48838Office #2: 4829 E Beltline Ave Ne, Grand Rapids, MI 49525BD
CRD#: 150631
Greenville, MI
Past
March 1, 2019 - November 15, 2023
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
GRAND RAPIDS, MI
Past
March 1, 2019 - November 15, 2023
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GRAND RAPIDS, MI
Past
September 12, 2012 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
COMSTOCK PARK, MI
Past
September 5, 2012 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
COMSTOCK PARK, MI
Past
October 25, 2011 - September 10, 2012
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
GREENVILLE, MI
Past
February 14, 2002 - September 10, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GREENVILLE, MI
Past
July 8, 1987 - February 7, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Michigan(11/13/2023)
IAR
Michigan(11/13/2023)
Exams
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
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Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Grand Rapids, MI 49525TRUST BUT VERIFY
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Contact information
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