SD
Sidney J. Dufresne
REGAL INVESTMENT ADVISORS LLC
River Rouge, LA 70123
Some features on this profile are disabled
CRD#: 2471091
SD
Professional summary
Sidney Joseph Dufresne JR, who also goes by Skip Dufresne, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in River Rouge, Louisiana and REGULUS FINANCIAL GROUP, LLC located in River Ridge, Louisiana.
Sidney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Sidney has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Skip Dufresne
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.
RENTAL PROPERTY OWNER,
RENTAL PROPERTY,
9515 JEFFERSON HWY,
RIVER RIDGE, LA 70123,
START OF RELATIONSHIP: JAN 1, 2010,
APPROXIMATE # OF HOURS PER MONTH: 4....
Group Health Insurance
I use my name for commissions, paid to SIDNEY J DUFRESNE,[10-99] about 12 hours per month ,commissions about $40,000 per year. I sell life insurance from various companies and annuities through mostly INSURMARK
CRS (Client Relationship Summary) - RIA
Click below to view Sidney Joseph Dufresne JR'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
February 21, 2018 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 9515 Jefferson Highway, River Rouge, LA 70123RIA
CRD#: 125004
River Rouge, LA
Current
September 26, 2017 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 9515 Jefferson Hwy, River Ridge, LA 70123BD
CRD#: 150631
River Ridge, LA
Past
August 15, 2017 - September 5, 2017
DORSEY & COMPANY, INC.
BD
CRD#: 1668
NEW ORLEANS, LA
Past
July 29, 2004 - March 9, 2012
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
NEW ORLEANS, LA
Past
February 8, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 8, 1995 - August 18, 2017
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
NEW ORLEANS, LA
Past
May 6, 1994 - January 26, 1995
MARQUIS INVESTMENTS, L.L.C.
BD
CRD#: 17121
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(12/24/2024)
RR
Louisiana(9/26/2017)
IAR
Louisiana(2/21/2018)
RR
Mississippi(1/3/2025)
RR
Virginia(10/27/2025)
Exams
State Security Law 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004River Rouge, LA 70123TRUST BUT VERIFY
Monitor Sidney Dufresne
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
