Vincent Lee Garrelts
Professional Summary
Vincent Lee Garrelts is a registered financial advisor currently at REGAL SECURITIES, INC. located in Glenview, Illinois. Vincent is registered as a RR (Registered Representative) and started their career in finance in 1994. Vincent has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.
Contact Information
Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766Phone Number
(800) 786-9000Established
Illinois since 05/06/1977Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
Regulatory Event
11Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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State Registrations and Notice Filings
(2/5/2004)
(3/13/2008)
(1/5/2010)
(1/5/2010)
(3/13/2008)
(1/28/2010)
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(2/11/2004)
(2/5/2004)
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(1/5/2010)
(3/13/2008)
(1/5/2010)
(2/5/2004)
(1/5/2010)
(2/5/2004)
(3/13/2008)
(11/1/2012)
(2/5/2004)
(2/5/2004)
(1/5/2010)
(2/5/2004)
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(2/5/2004)
(2/5/2004)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Vincent Lee Garrelts's CRS (Customer Relationship Summary).
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