AA
Anthony D. Abrams
REGAL INVESTMENT ADVISORS LLC
Upper Marlboro, MD 20774
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CRD#: 2829747
AA
Professional summary
Anthony Drake Abrams is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Upper Marlboro, Maryland.
Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Anthony has 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"?
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.
Business Name: Abrams Financial Services, LLC - Investment Related: Yes - Address: 11350 Random Hills Rd, Suite 800, Fairfax, VA - Nature of Business: Investment Advisor Activities through Regal Investment Advisors, LLC using a DBA name; Insurance; Tax Preparation - Title or Relationship: Insurance Agent/Registered Representative/CPA - Start Date: 9/01/2023 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. Business Name: Toron Management - Investment Related: No - Address: 6305 Knolls Pond Lane, Fairfax Station, VA - Nature of Business: Real Estate Property Management - Title or Relationship: Owner - Start Date: 1/01/2007 - Hours per month: 10 - Hours per month during trading hours: 0 - Duties: Real estate property management and collection of rental income on monthly basis
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Drake Abrams'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
September 5, 2023 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 1401 Mercantile Lane Suite 500-n, Upper Marlboro, MD 20774RIA
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.
BD
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
BD
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
BD
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
BD
CRD#: 12963
VIENNA, VA
Past
May 13, 1997 - October 23, 2002
AVANTAX INVESTMENT SERVICES, INC.
BD
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".
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.Highlighted states indicate IAR registrations
IAR
Virginia(9/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
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Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Upper Marlboro, MD 20774TRUST BUT VERIFY
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