SG
Samuel T. Grezaffi
REGAL INVESTMENT ADVISORS LLC
Livonia, LA 70755
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CRD#: 2220555
SG
Professional summary
Samuel Troy Grezaffi, who also goes by Troy Grezaffi, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Livonia, Louisiana and REGULUS FINANCIAL GROUP, LLC located in Livonia, Louisiana.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Samuel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Troy Grezaffi
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.
Grezaffi Campsites LLC: This is a family LLC that I am a joint manager/member of this LLC along with my sister for the rest of my family. The LLC holds 49 campsites that we lease to others. My duties are to lease the sites, bill and collect lease money and keep up with the properties. This is not investment related. Grezaffi Properties LLC: This is a family LLC that I am a joint manager/member with my sister for the rest of my family. The LLC holds 150 acres of pasture land along with a one acre commercial lot for sale. The pasture land we rent out to an outside source and we are trying to sell the commercial lot. My duties are to keep tract of the properties. This is a non investment. Grezaffi Enterprise LLC: This is a LLC for tax purposes only. It is used to run commissions from insurance companies through the business for tax purposes. My wife is the only member on the LLC and no marketing goes through or with the name of Grezaffi Enterprises. Other Insurance Services: I receive some commission renewals from other insurance companies from the past along with my wife, Melissa, who is affiliated with several insurance companies. None of these are investment related commissions. Business Name: Disaster Resource Group/Disaster Logistic Services - Investment Related: No - Address: 8868 Elton St, Livonia, LA 70755 - Nature of Business: Hurricane Relief - Title or Relationship: Site Manager - Start Date: 4/1/2023 - Hours per month: 100 - Hours per month during trading hours: 60 - Duties: Assist with hurricane disaster relief occurring typically 1-2 weeks out of a year. Business Name: A B & S Construction - Investment Related: No - Address: 6750 Rougon Rd, Port Allen, LA 70767 - Nature of Business: Hurricane Relief - Title or Relationship: Equipment Driver - Start Date: 10/21/2024 - Hours per month: 10 - Hours per month during trading hours: 4 - Duties: Assist with hurricane disaster relief occurring typically 1-2 days before and after a hurricane.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Troy Grezaffi's 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®
NoneExperience
Current
March 4, 2021 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2993 La Hwy 78, Livonia, LA 70755RIA
CRD#: 125004
Livonia, LA
Current
March 4, 2021 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 2993 La Hwy 78, Livonia, LA 70755BD
CRD#: 150631
Livonia, LA
Past
August 9, 2017 - March 16, 2021
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
January 31, 2005 - July 21, 2016
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
LIVONIA, LA
Past
June 13, 2002 - July 21, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
LIVONIA, LA
Past
February 29, 1996 - June 10, 2002
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
July 31, 1992 - February 15, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
July 31, 1992 - February 15, 1996
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
April 20, 1992 - July 2, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 20, 1992 - July 2, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 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
California(4/13/2021)
RR
Louisiana(3/4/2021)
IAR
Louisiana(3/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
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
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Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Livonia, LA 70755TRUST BUT VERIFY
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Contact information
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