RR
Regina M. Rudnick
PEAK BROKERAGE SERVICES
Jupiter, FL 33477
Some features on this profile are disabled
CRD#: 2373530
RR
Professional summary
Regina Mary Rudnick, who also goes by Regina Mary Held, is a registered financial professional currently at PEAK BROKERAGE SERVICES, LLC located in Jupiter, Florida and THURSTON SPRINGER FINANCIAL 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 Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Regina Mary Held
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) - BD
Click below to view Regina Mary Rudnick'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
January 3, 2018 - Present
PEAK BROKERAGE SERVICES, LLC
Office #1: 1070 East Indiantown Road Suite 208-210, Jupiter, FL 33477BD
CRD#: 157045
Jupiter, FL
Current
February 4, 2025 - Present
THURSTON SPRINGER FINANCIAL
Office #1: 1070 E. Indiantown Rd Suite 208, Jupiter, FL 33409BD
CRD#: 8478
Jupiter, FL
Past
January 3, 2017 - April 10, 2017
LINCOLN INVESTMENT
BD
CRD#: 519
PALM BEACH GARDENS, FL
Past
January 1, 1994 - January 3, 2017
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
September 20, 1993 - January 1, 1994
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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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
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Alabama(7/15/2024)
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Alaska(7/15/2024)
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Arizona(7/15/2024)
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Arkansas(7/15/2024)
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California(7/15/2024)
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Colorado(7/15/2024)
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Connecticut(7/15/2024)
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Delaware(7/15/2024)
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District of Columbia(7/15/2024)
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Florida(1/3/2018)
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Georgia(7/15/2024)
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Hawaii(7/15/2024)
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Idaho(7/15/2024)
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Illinois(7/15/2024)
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Indiana(7/15/2024)
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Iowa(7/15/2024)
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Kansas(7/15/2024)
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Kentucky(7/15/2024)
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Louisiana(7/15/2024)
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Maine(7/15/2024)
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Maryland(7/15/2024)
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Massachusetts(7/15/2024)
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Michigan(7/15/2024)
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Minnesota(7/15/2024)
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Mississippi(7/15/2024)
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Missouri(7/15/2024)
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Montana(7/15/2024)
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Nebraska(7/15/2024)
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Nevada(7/15/2024)
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New Hampshire(7/15/2024)
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New Jersey(7/15/2024)
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New Mexico(7/15/2024)
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New York(7/15/2024)
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North Carolina(7/15/2024)
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North Dakota(7/15/2024)
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Ohio(7/16/2024)
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Oklahoma(7/15/2024)
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Oregon(7/15/2024)
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Pennsylvania(7/15/2024)
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Rhode Island(7/15/2024)
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South Carolina(7/15/2024)
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South Dakota(7/15/2024)
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Tennessee(7/15/2024)
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Texas(7/15/2024)
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Utah(7/15/2024)
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Vermont(7/15/2024)
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Virginia(7/15/2024)
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Washington(7/15/2024)
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West Virginia(7/15/2024)
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Wisconsin(7/15/2024)
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Wyoming(7/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THURSTON SPRINGER FINANCIAL
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
CRD#: 8478 / SEC#: 801-63564, 8-25452
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142
Phone number
(317) 581-4000
Established
Indiana since 09/12/1980
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (52 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 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
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.
