AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WC

Ward M. Caldbick

REGAL SECURITIES
Amherst, NY 14228
Some features on this profile are disabled
CRD#: 1801456
WC

Professional summary

Ward Murray Caldbick is a registered financial professional currently at REGAL SECURITIES, INC. located in Amherst, New York.

Ward is registered as a RR (Registered Representative) and started their career in finance in 1988. Ward has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ward Murray Caldbick'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

August 3, 2012 - Present

REGAL SECURITIES, INC.

Office #1: 1404 Sweet Home Road Suite 12, Amherst, NY 14228
BD
CRD#: 7297
Amherst, NY
Past

July 11, 2012 - August 3, 2012

L.M. KOHN & COMPANY

BD
CRD#: 27913
CINCINNATI, OH
Past

December 19, 2005 - July 25, 2012

LEONARD & COMPANY

BD
CRD#: 36527
AMHERST, NY
Past

November 22, 1999 - December 20, 2005

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
WILLIAMSVILLE, NY
Past

September 4, 1998 - December 20, 2005

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

November 2, 1994 - September 4, 1998

ESSEX CAPITAL MARKETS, INC.

BD
CRD#: 11896
ROCHESTER, NY
Past

April 11, 1989 - November 7, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

December 20, 1988 - September 13, 1991

MONMOUTH INVESTMENTS, INC.

BD
CRD#: 14047
Past

May 24, 1988 - January 9, 1989

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
Past

March 22, 1988 - May 28, 1988

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(8/3/2018)
RR
California
(10/5/2015)
RR
Colorado
(8/3/2012)
RR
Connecticut
(1/8/2025)
RR
Florida
(8/3/2012)
RR
Georgia
(8/8/2012)
RR
Illinois
(8/3/2012)
RR
Kentucky
(1/8/2025)
RR
Louisiana
(9/1/2017)
RR
Maryland
(5/28/2025)
RR
Massachusetts
(3/17/2021)
RR
Michigan
(3/17/2021)
RR
Minnesota
(1/8/2025)
RR
Missouri
(4/17/2025)
RR
New Hampshire
(3/17/2021)
RR
New Jersey
(1/8/2025)
RR
New York
(8/3/2012)
RR
North Carolina
(11/3/2017)
RR
Ohio
(8/3/2012)
RR
Oregon
(7/8/2021)
RR
Pennsylvania
(10/1/2021)
RR
South Carolina
(10/24/2014)
RR
Texas
(8/3/2012)
RR
Utah
(1/8/2025)
RR
Virginia
(8/3/2012)
RR
Washington
(12/14/2023)
RR
West Virginia
(1/8/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/25/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/31/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/7/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/21/2025
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/14/2025
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.

CRD#: 7297 / SEC#: , 8-21765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOKIOS, GEORGECHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER718774
VILLAFLOR, ROBERT FUSTERSHAREHOLDER2374555
AKSOMITAITE, SKAISTEVICE PRESIDENT AND FINOP4852873
BOKIOS, EUGENIA THEADORA MSSENIOR VICE PRESIDENT & GENERAL COUNSEL2392199
BOKIOS, VICTORIA THEADORATREASURER/SECRETARY2421318
ENGELBRECHT, JEREMY AARONCHIEF COMPLIANCE OFFICER (INTERIM)3277607
HERRIN, SHAWN EVERETTPRESIDENT2311476

Disclosures

Regulatory Event11
Arbitration4

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 SECURITIES, INC.

CRD#: 7297Amherst, NY 14228

TRUST BUT VERIFY

Monitor Ward Caldbick

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael C Gimlin Jr.
Michael GimlinAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Williamsville, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics