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MH

Michael G. Hickey

REGAL ADVISORY SERVICES
Fort Myers, FL 33916
Some features on this profile are disabled
CRD#: 1816617
MH

Professional summary

Michael Gerard Hickey is a registered financial advisor currently at REGAL ADVISORY SERVICES, INC. located in Fort Myers, Florida and REGAL SECURITIES, INC. located in Fort Myers, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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.
Level Four Advisory Services, LLC, investment related, 12400 Coit Road, Dallas TX 75251, Financial Advisor, Started 12/22/2021, approximately 120 hours per month during trading hours, investment advisor representative. WWW.MIKE-HICKEY.COM, DBA WEBSITE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gerard Hickey'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

October 26, 2023 - Present

REGAL ADVISORY SERVICES, INC.

Office #1: 4300 Ford Street Extension Suite 103, Fort Myers, FL 33916
RIA
CRD#: 123842
Fort Myers, FL
Current

October 26, 2023 - Present

REGAL SECURITIES, INC.

Office #1: 4300 Ford Street Extension Suite 103, Fort Myers, FL 33916
BD
CRD#: 7297
Fort Myers, FL
Past

December 21, 2021 - October 26, 2023

LEVEL FOUR ADVISORY SERVICES

RIA
CRD#: 134086
GRAYSLAKE, IL
Past

January 8, 2013 - December 21, 2021

LEVEL FOUR FINANCIAL, LLC

RIA
CRD#: 25700
Grayslake, IL
Past

January 4, 2013 - October 26, 2023

LEVEL FOUR FINANCIAL, LLC

BD
CRD#: 25700
Grayslake, IL
Past

January 2, 2009 - January 4, 2013

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
NORTH RIVERSIDE, IL
Past

December 5, 2003 - May 15, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
NORTH RIVERSIDE, IL
Past

August 27, 2002 - November 26, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
NORTH RIVERSIDE, IL
Past

August 14, 2002 - January 4, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
NORTH RIVERSIDE, IL
Past

June 28, 2002 - August 19, 2002

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
CHICAGO, IL
Past

February 23, 2001 - August 19, 2002

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

April 5, 1994 - March 19, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 27, 1991 - April 12, 1994

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 15, 1990 - October 16, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 22, 1988 - March 1, 1990

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 19, 1988 - August 20, 1988

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

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".
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA
Registered Investment Advisory firm - (7/12/2010 Approved)
Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)
Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)
Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)
Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)
Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)
Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)
Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)
Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)
Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)
Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)
Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)
Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)
Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)
Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)
Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)
Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)
Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)
Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)
Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)
Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)
Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)
New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)
New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)
New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)
North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)
Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)
Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)
Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)
Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)
South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)
Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)
Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)
Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)
Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)
Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)
Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)
Wisconsin
Registered Investment Advisory firm - (7/13/2010 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
Arizona
(12/13/2023)
RR
California
(10/26/2023)
RR
Florida
(10/26/2023)
IAR
Florida
(11/3/2023)
RR
Georgia
(2/28/2025)
RR
Illinois
(10/26/2023)
IAR
Illinois
(10/26/2023)
RR
Indiana
(10/26/2023)
RR
Maryland
(11/6/2024)
RR
Missouri
(11/13/2023)
RR
New Mexico
(10/26/2023)
RR
New York
(10/26/2023)
RR
Ohio
(11/6/2024)
RR
Pennsylvania
(10/26/2023)
RR
Texas
(10/26/2023)
IAR
Texas
(12/11/2023)
RR
Vermont
(1/2/2024)
RR
West Virginia
(11/6/2024)
RR
Wisconsin
(3/4/2024)
RR
Wyoming
(3/4/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/9/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/22/1988
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 7
Date: 7/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA
Registered Investment Advisory firm - (7/12/2010 Approved)
Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)
Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)
Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)
Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)
Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)
Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)
Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)
Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)
Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)
Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)
Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)
Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)
Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)
Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)
Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)
Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)
Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)
Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)
Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)
Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)
Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)
New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)
New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)
New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)
North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)
Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)
Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)
Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)
Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)
South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)
Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)
Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)
Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)
Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)
Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)
Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)
Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)
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Contact information

Main Address
950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771
Mailing Address
Phone number
(877) 488-6537
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (8/12/2025)

Regulatory assets under management

Total Number of Accounts289
AUM (Assets Under Management)$ 113,536,443

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 ADVISORY SERVICES, INC.

CRD#: 123842Fort Myers, FL 33916

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Client Complaints
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