Barry F. Regal
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.
Barry Francis Regal, who also goes by Toby Regal, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1993. Barry had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2016 - August 9, 2021
CLEARVIEW ADVISORY
February 7, 2013 - March 25, 2016
ADVOCACY WEALTH MANAGEMENT, LLC
January 28, 2013 - October 22, 2015
CERTUSSECURITIES, INC.
October 3, 2011 - January 30, 2013
INVESTORS CAPITAL CORP.
January 28, 2011 - January 30, 2013
INVESTORS CAPITAL CORP.
August 20, 2009 - October 30, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
January 1, 2009 - August 19, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
May 30, 2006 - August 19, 2009
HARTFORD FUNDS DISTRIBUTORS, LLC
June 2, 1997 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
January 31, 1996 - February 28, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 15, 1993 - January 16, 1996
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
CLEARVIEW ADVISORY
CRD#: 140068 / SEC#: 801-66487
Contact information
Red Flags
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