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Heriberto De Leon

REGULUS FINANCIAL GROUP
Fresno, CA 93720
Some features on this profile are disabled
CRD#: 2039418
HD

Professional summary

Heriberto De Leon, who also goes by Eddie De Leon Jr, Heriberto De Leon Jr, is a registered financial advisor currently at REGULUS FINANCIAL GROUP, LLC located in Fresno, California.

Heriberto is registered as a RR (Registered Representative) and started their career in finance in 1990. Heriberto has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eddie De Leon Jr | Heriberto De Leon Jr

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 Heriberto De Leon'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

June 26, 2017 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 1111 E Herndon Ave Suite 106, Fresno, CA 93720
BD
CRD#: 150631
Fresno, CA
Past

January 30, 2017 - July 6, 2017

FOREST SECURITIES,INC.

BD
CRD#: 16255
Fresno, CA
Past

July 12, 2016 - February 1, 2017

BANKERS LIFE SECURITIES, INC.

BD
CRD#: 173962
Fresno, CA
Past

March 13, 2013 - July 11, 2016

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
FRESNO, CA
Past

February 5, 2013 - March 18, 2013

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
PLEASANT HILL, CA
Past

May 16, 2008 - March 5, 2010

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
FRESNO, CA
Past

May 16, 2008 - March 5, 2010

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
FRESNO, CA
Past

May 14, 2004 - May 1, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
FRESNO, CA
Past

May 14, 2004 - May 1, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
FRESNO, CA
Past

July 8, 1997 - May 27, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FRESNO, CA
Past

July 31, 1993 - May 27, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 20, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
California
(6/26/2017)
RR
Missouri
(5/23/2024)
RR
Nevada
(6/26/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/1/1992
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/9/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/9/1999
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

RF
REGULUS FINANCIAL GROUP, LLC
REGULUS ADVISORS, LLC | REGULUS, LLC | REGULUS FINANCIAL GROUP, LLC

CRD#: 150631 / SEC#: , 8-68275

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Mailing Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Phone number
(616) 224-2204
Established
Michigan since 12/28/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
REGAL HOLDINGS OF AMERICA, LLCMEMBER
CARLSON, DONALD NATE MR.PRESIDENT2903454
LUTTRULL, KELLEYFINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER7363208
VEENSTRA, JILL ANNECHIEF COMPLIANCE OFFICER/AMLCO3222590

Disclosures

Regulatory Event5

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

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631Fresno, CA 93720

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