Anthony D. Abrams

Some features on this profile are disabled

CRD#: 2829747

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.

Anthony D Abrams, who also goes by Anthony Drake Abrams, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1997. Anthony had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony Drake Abrams

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.

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

September 5, 2023 - November 25, 2025

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Upper Marlboro, MD

Past

March 1, 2019 - September 21, 2021

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

UPPER MARLBORO, MD

Past

March 1, 2019 - September 21, 2021

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

UPPER MARLBORO, MD

Past

May 15, 2014 - March 1, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

UPPER MARLBORO, MD

Past

May 14, 2014 - March 1, 2019

QUESTAR CAPITAL CORPORATION

CRD#: 43100

UPPER MARLBORO, MD

Past

July 27, 2012 - April 14, 2014

COLORADO FINANCIAL SERVICE CORPORATION

RIA

CRD#: 104343

VIENNA, VA

Past

July 13, 2012 - April 14, 2014

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

VIENNA, VA

Past

January 6, 2004 - July 13, 2012

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

VIENNA, VA

Past

October 24, 2002 - July 13, 2012

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

VIENNA, VA

Past

May 13, 1997 - October 23, 2002

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

REGAL INVESTMENT ADVISORS LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2010

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/22/2009

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/13/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

REGAL INVESTMENT ADVISORS LLC

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISOR CHOICE PROGRAM (4/25/2025)

LIONSHARE ADV PART 2A DISCLOSURE BROCHURE (4/25/2025)

REGAL INVESTMENT ADVISORS LLC ADV BROCHURE (4/25/2025)

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	Cover Page	Report
12/06/2023	Cover Page	Report
12/06/2023	Cover Page	Report

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony D. Abrams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGAL INVESTMENT ADVISORS LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

COLORADO FINANCIAL SERVICE CORPORATION

COLORADO FINANCIAL SERVICE CORPORATION

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2003

Series 63

Date: 7/28/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2010

Series 22

Date: 12/22/2009

Series 6

Date: 2/13/1997

Current Firm

REGAL INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REGAL INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors