DC
Donald N. Carlson
REGAL INVESTMENT ADVISORS LLC
Kentwood, MI 49512
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CRD#: 2903454
DC
Professional summary
Donald Nate Carlson is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Kentwood, Michigan and REGULUS FINANCIAL GROUP, LLC located in Kentwood, Michigan.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Donald has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 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. INSURANCE SERVICES AND INSURANCE PRODUCTS THROUGH REGAL FINANCIAL GROUP LLC/REGAL INVESTMENT ADVISORS AND PART OWNER. 2. INSURANCE SERVICES AND INSURANCE PRODUCTS THROUGH REGULUS FINANCIAL GROUP LLC. 3. REGAL HOLDINGS OF AMERICA - PART OWNER. 4. ITS GOTTA BE THE SHOES. 2725 BERWYCK RD, GRAND RAPIDS, MI 49506. NOT INVESTMENT RELATED. CO-FOUNDER. 5 HOURS/MONTH; NONE DURING TRADING HOURS. START DATE: 6/2020. NO COMPENSATION. HELPS LEADS THE DIRECTION OF THE CHARITY.
CRS (Client Relationship Summary) - RIA
Click below to view Donald Nate Carlson'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
January 7, 2011 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2687 44th Street Se, Kentwood, MI 49512RIA
CRD#: 125004
Kentwood, MI
Current
January 13, 2014 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 2687 44th Street, Suite 101, Kentwood, MI 49512BD
CRD#: 150631
Kentwood, MI
Past
March 10, 2009 - May 3, 2011
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
March 5, 2009 - December 31, 2013
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
KENTWOOD, MI
Past
October 31, 2005 - March 10, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
KENTWOOD, MI
Past
January 8, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
January 8, 2002 - January 13, 2003
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
ADA, MI
Past
May 19, 2000 - January 3, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
August 18, 1999 - May 4, 2000
OLD KENT FINANCIAL ADVISORS
BD
CRD#: 17039
GRAND RAPIDS, MI
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
Arkansas(4/29/2024)
RR
California(4/29/2024)
RR
Colorado(1/11/2024)
RR
District of Columbia(2/5/2024)
RR
Florida(2/7/2014)
RR
Georgia(6/28/2024)
RR
Hawaii(2/5/2024)
RR
Idaho(4/29/2024)
RR
Illinois(2/19/2014)
RR
Indiana(2/18/2014)
RR
Kansas(6/28/2024)
RR
Kentucky(2/5/2024)
RR
Maryland(10/21/2014)
IAR
Michigan(1/7/2011)
RR
Michigan(1/13/2014)
RR
Missouri(2/5/2024)
RR
Nebraska(2/5/2024)
RR
New Hampshire(2/5/2024)
RR
North Carolina(1/9/2024)
RR
Ohio(2/10/2014)
RR
Oregon(1/11/2024)
RR
Pennsylvania(6/28/2024)
RR
South Dakota(2/5/2024)
RR
Texas(2/25/2014)
IAR
Texas(1/13/2021)
RR
West Virginia(4/7/2025)
RR
Wisconsin(1/28/2014)
RR
Wyoming(7/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/19/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Kentwood, MI 49512TRUST BUT VERIFY
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