Regina Mary Rudnick
Professional Summary
Regina Mary Rudnick, who also goes by Regina Mary Held, is a registered financial advisor currently at PEAK BROKERAGE SERVICES, LLC located in Jupiter, Florida and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Jupiter, Florida. Regina is registered as a RR (Registered Representative) and started their career in finance in 1993. Regina has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Regina Mary Held
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | TRILOGY WEALTH MANAGEMENT | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. INSURANCE AGENCY | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | THURSTON, SPRINGER, MILLER & HERD, INC. | THURSTON, SHUMAKER, MILLER & BURKE, INCORPORATED | THURSTON, MILLER & BURKE, INC. | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | SPRAWLS FINANCIAL | SPENCER FINANCIAL STRATEGIES | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | LIBERTY CONSULTING | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | DAMER WEALTH MANAGEMENT | CRAVENS, LLC | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BAYLEY INVESTMENT GROUP | BALDASSARI ADVISORY | AMERICAN PENSION ADVISORS
Contact Information
Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142Phone Number
(317) 581-4000Established
Indiana since 09/12/1980Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | — |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| PELUSO, JOHN GABRIEL JR. | EXECUTIVE VICE PRESIDENT | 1902776 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / CFO / FINOP | 4077413 |
| RUDNICK, REGINA MARY | CO-PRESIDENT / HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
Regulatory Event
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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.
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1993About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 1994About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Regina Mary Rudnick's CRS (Customer Relationship Summary).
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