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PH

Pansy L. Heath

Some features on this profile are disabled
CRD#: 2542488
PH

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.

Pansy Louise Heath, who also goes by Pansy L Leach, Pansy Louise Leach, Pansy Louise Mosingo, Pansy Mosngo, Pansy Smith, was a registered financial professional .

Pansy is a previously registered financial professional and started their career in finance in 1994. Pansy had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pansy L Leach | Pansy Louise Leach | Pansy Louise Mosingo | Pansy Mosngo | Pansy Smith

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.
1.IAR WITH REGAL INVESTMENT ADVISORS 2.INDEPENDENT INSURANCE AGENT 3.RIVERBANK WEALTH MANAGEMENT - INSURANCE & FINANCIAL SERVICES, WEALTH ADVISOR. START DATE: 02/2012; THIS ACTIVITY IS NON SECURITIES RELATED. DEVOTES 128 HRS PER MONTH; 128 HRS DURING MARKET HRS. 5/6/13 4. Owner of Grandmommy Enterprises (Craft Jewerly).Located at 5434 Raven Pkwy, Monroe MI, 48161. Phone: 734-430-4648 Email: pansy.heath@gmail.com. Started on 9/15/2017 and devotes 10 hours per month and no hours during trading hours. This is not investment related. Duties include selling pins at craft shows/women expos. She is compensated through revenue from sales.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 2, 2015 - September 30, 2022

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
Monroe, MI
Past

March 14, 2012 - September 30, 2022

REGAL INVESTMENT ADVISORS LLC

RIA
CRD#: 125004
Monroe, MI
Past

February 2, 2012 - December 31, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
MONROE, MI
Past

December 20, 2007 - January 25, 2012

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
DETROIT, MI
Past

December 14, 2007 - January 25, 2012

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
DETROIT, MI
Past

July 6, 2005 - December 7, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
WAYNE, MI
Past

July 6, 2005 - December 7, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
WAYNE, MI
Past

July 11, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
WAYNE, MI
Past

July 10, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

January 12, 1998 - July 8, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 8, 1994 - January 14, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/1/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/1/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/1994
General Securities Representative Examination

Current Firm

RF
REGULUS FINANCIAL GROUP, LLC
REGULUS ADVISORS, LLC | REGULUS, LLC | REGULUS FINANCIAL GROUP, LLC

CRD#: 150631 / SEC#: , 8-68275

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Mailing Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Phone number
(616) 224-2204
Established
Michigan since 12/28/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGAL HOLDINGS OF AMERICA, LLCMEMBER
CARLSON, DONALD NATE MR.PRESIDENT2903454
LUTTRULL, KELLEYFINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER7363208
VEENSTRA, JILL ANNECHIEF COMPLIANCE OFFICER/AMLCO3222590

Disclosures

Regulatory Event5

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

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

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