DG
Darrel R. Gresham
Some features on this profile are disabled
CRD#: 2187930
DG
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.
Darrel Ray Gresham was a registered financial advisor .
Darrel is a previously registered financial advisor and started their career in finance in 1991. Darrel had worked at 8 firms and has passed the Series 63 and Series 7 exams.
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 2, 2007 - December 18, 2007
REGAL ADVISORY SERVICES, INC.
RIA
CRD#: 123842
GLENVIEW, IL
Past
January 3, 2007 - August 27, 2010
REGAL SECURITIES, INC.
BD
CRD#: 7297
CLEARWATER, FL
Past
January 31, 2006 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
RIA
CRD#: 30108
PALM HARBOR, FL
Past
January 30, 2006 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
BD
CRD#: 30108
PHOENIX, AZ
Past
May 2, 2005 - December 31, 2005
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
CLEARWATER, FL
Past
April 29, 2005 - February 7, 2006
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ST PETERSBURG, FL
Past
September 23, 1994 - May 11, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
CLEARWATER, FL
Past
September 23, 1994 - May 11, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 31, 1991 - September 27, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 31, 1991 - September 27, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
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)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 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)
Documents
Regulatory assets under management
| Total Number of Accounts | 289 |
| 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.
