KB
Kevin W. Berwald
REGAL INVESTMENT ADVISORS LLC
Grosse Ile, MI
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CRD#: 2700217
KB
Professional summary
Kevin William Berwald, CFP® is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Grosse Ile, Michigan and REGULUS FINANCIAL GROUP, LLC located in Grosse Ile, Michigan.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 6 firms and has passed the Series 63, SIE, Series 6, Series 26 and Series 51 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Licensed insurance agent. Located at 17601 Parke Lane, Grosse Ile, MI, 48138. Receives commissions. Devotes approx. 3 hours per month and 1 hour during trading hours. Insurance, Variable and Fixed. 2) Lionshare National Sales Manager; 17601 Parke Lane, Grosse Ile, MI 48138; 20 hours/month, 0 during trading; Start 1/1/2022; fee-based; Helping build out and consult for Lionshare wholesaling distribution 3) Berwald Financial Enterprises, LLC; 17601 Parke Lane, Grosse Ile, MI 48138; 10 hours/month, 2 during trading; Start 1/1/2021; fee-based; Sales coaching and training 4) Catalyst4Growth; 4969 Bayshore Blvd, Tampa, FL 33611; Sales Consulting; Not investment related; 10 hours/month, 0 during trading; Start 12/27/2022; Fee-based compensation; Sales training and sales process creation
CRS (Client Relationship Summary) - RIA
Click below to view Kevin William Berwald'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®
CFP®
Start date: 1997
Experience
Current
February 24, 2021 - Present
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Grosse Ile, MI
Current
February 25, 2021 - Present
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Grosse Ile, MI
Past
December 12, 2001 - November 12, 2020
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
GROSSE ILE, MI
Past
November 20, 1998 - December 6, 2001
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
July 10, 1998 - November 17, 1998
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
February 5, 1996 - November 13, 1998
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
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
Florida(2/25/2021)
IAR
Michigan(2/24/2021)
RR
Michigan(2/25/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
