CT
Cory J. Thompson
REGAL INVESTMENT ADVISORS LLC
Jenks, OK 74037
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CRD#: 3146207
CT
Professional summary
Cory James Thompson is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Jenks, Oklahoma and REGULUS FINANCIAL GROUP, LLC located in Jenks, Oklahoma.
Cory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Cory has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
(DBA)CORY THOMPSON & ASSOCIATES; INVESTMENT RELATED; 100 S RIVERFRONT DR, JENKS, OK 74037; OWNER; START 09/04/2012; APPROX 160 HRS/MTH; APPROX 160 HRS/MTH DURING SECURITIES TRADING; FINANCIAL SERVICES. APPOINTED WITH VARIOUS LIFE, ACCIDENT AND HEALTH INSURANCE COMPANIES. CURRENTLY PARTICIPATES IN THE SALE OF EQUITY INDEXED ANNUITIES (EIA'S).
CRS (Client Relationship Summary) - RIA
Click below to view Cory James Thompson'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
November 30, 2015 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 100 S. Riverfront Dr Suite 136, Jenks, OK 74037RIA
CRD#: 125004
Jenks, OK
Current
November 30, 2015 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 100 S. Riverfront Dr Suite 136, Jenks, OK 74037BD
CRD#: 150631
Jenks, OK
Past
January 2, 2013 - December 1, 2015
FIRST INDEPENDENT ADVISORY SERVICES, INC.
RIA
CRD#: 132678
JENKS, OK
Past
September 4, 2012 - December 1, 2015
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
BD
CRD#: 128904
Jenks, OK
Past
December 1, 2010 - September 4, 2012
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
TULSA, OK
Past
December 1, 2010 - September 4, 2012
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
TULSA, OK
Past
January 2, 2004 - December 2, 2010
ARVEST WEALTH MANAGEMENT
RIA
CRD#: 42057
TULSA, OK
Past
December 4, 1998 - December 2, 2010
ARVEST WEALTH MANAGEMENT
BD
CRD#: 42057
TULSA, OK
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
California(11/30/2015)
RR
Kentucky(10/14/2020)
RR
Oklahoma(11/30/2015)
IAR
Oklahoma(11/30/2015)
RR
Texas(11/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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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Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Jenks, OK 74037TRUST BUT VERIFY
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