Patrick J. Pung
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick Jon Pung, who also goes by Patrick J Pung, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1987. Patrick had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2012 - September 30, 2015
REGAL INVESTMENT ADVISORS LLC
September 24, 2010 - December 31, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 24, 2010 - December 31, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 17, 2004 - August 26, 2008
BNY ADVISORS
September 16, 2004 - August 26, 2008
PERSHING LLC
February 15, 2001 - December 2, 2002
FORESIDE FUND SERVICES, LLC
April 20, 1998 - April 5, 1999
VP DISTRIBUTORS LLC
February 10, 1995 - September 13, 1996
NICHOLAS-APPLEGATE SECURITIES LLC
November 29, 1993 - January 23, 1995
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 3, 1990 - July 6, 1992
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 22, 1987 - August 23, 1990
EDWARD JONES
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
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.
