Vinh Ma
REGAL INVESTMENT ADVISORS LLC
Grand Rapids, MI 49503
Some features on this profile are disabled
CRD#: 3181557
Professional summary
Vinh Ma, who also goes by VInh Hong Ma, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Grand Rapids, Michigan and REGULUS FINANCIAL GROUP, LLC located in Grand Rapids, Michigan.
Vinh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Vinh has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vinh Hong Ma
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: Ma Family Business LLC DBA Third Wave Financial - Investment Related: Yes - Address: 146 Monroe Center NW, Ste 1100, Grand Rapids, MI 49503 - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Registered Representative/Investment Advisor Representative/Insurance Agent - Start Date: 2/28/2025 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services.
CRS (Client Relationship Summary) - RIA
Click below to view Vinh Ma'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
March 18, 2025 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 146 Monroe Center Ste 1100, Grand Rapids, MI 49503RIA
CRD#: 125004
Grand Rapids, MI
Current
March 18, 2025 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 146 Monroe Center Nw, Ste 1100, Grand Rapids, MI 49503BD
CRD#: 150631
Grand Rapids, MI
Past
December 16, 2016 - March 31, 2025
EDWARD JONES
RIA
CRD#: 250
GRAND RAPIDS, MI
Past
September 26, 2016 - March 31, 2025
EDWARD JONES
BD
CRD#: 250
GRAND RAPIDS, MI
Past
February 18, 2010 - June 6, 2016
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
GRAND RAPIDS, MI
Past
October 31, 2005 - February 19, 2010
OSAIC SERVICES, INC.
BD
CRD#: 133763
GRAND RAPIDS, MI
Past
July 16, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
July 2, 2001 - May 20, 2002
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MINNEAPOLIS, MN
Past
September 20, 1999 - July 9, 2001
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(3/18/2025)
RR
Michigan(3/18/2025)
IAR
Michigan(3/18/2025)
RR
Ohio(3/18/2025)
RR
Oregon(10/14/2025)
RR
South Carolina(3/18/2025)
RR
Washington(3/18/2025)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
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.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Grand Rapids, MI 49503TRUST BUT VERIFY
Monitor Vinh Ma
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
