JE
Jeremy A. Engelbrecht
REGAL SECURITIES
GLENVIEW, IL 60025
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CRD#: 3277607
JE
Professional summary
Jeremy Aaron Engelbrecht, who also goes by Jeremy Aaron Engelbrech, is a registered financial professional currently at REGAL SECURITIES, INC. located in Glenview, Illinois.
Jeremy is registered as a RR (Registered Representative) and started their career in finance in 2000. Jeremy has worked at 4 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 3, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jeremy Aaron Engelbrech
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.
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Aaron Engelbrecht'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
June 16, 2015 - Present
REGAL SECURITIES, INC.
Office #1: 950 N. Milwaukee Ave 102, Glenview, IL 60025Office #2: 950 Milwaukee Ave. Suite 102, Glenview, IL 60025BD
CRD#: 7297
GLENVIEW, IL
Past
December 6, 2012 - July 10, 2014
STERLING SOFTWARE SERVICES, INC.
BD
CRD#: 159128
CHICAGO, IL
Past
February 15, 2011 - December 31, 2011
WESTMINSTER FINANCIAL SECURITIES, INC.
BD
CRD#: 20677
BEAVERCREEK, OH
Past
December 8, 2000 - January 28, 2009
TERRA NOVA FINANCIAL, LLC
BD
CRD#: 37761
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/10/2017)
RR
Alaska(1/9/2017)
RR
Arizona(1/5/2017)
RR
Arkansas(1/17/2017)
RR
California(1/6/2017)
RR
Colorado(1/11/2017)
RR
Connecticut(1/6/2017)
RR
Delaware(1/18/2017)
RR
District of Columbia(1/6/2017)
RR
Florida(1/9/2017)
RR
Georgia(1/11/2017)
RR
Hawaii(1/5/2017)
RR
Idaho(1/5/2017)
RR
Illinois(6/17/2015)
RR
Indiana(1/13/2017)
RR
Iowa(1/9/2017)
RR
Kansas(1/13/2017)
RR
Kentucky(2/6/2017)
RR
Louisiana(1/9/2017)
RR
Maine(1/6/2017)
RR
Maryland(1/9/2017)
RR
Massachusetts(1/9/2017)
RR
Michigan(2/9/2017)
RR
Minnesota(1/9/2017)
RR
Mississippi(1/17/2017)
RR
Montana(2/8/2017)
RR
Nebraska(2/7/2017)
RR
Nevada(1/12/2017)
RR
New Hampshire(1/6/2017)
RR
New Jersey(1/10/2017)
RR
New Mexico(1/6/2017)
RR
New York(1/6/2017)
RR
North Carolina(1/20/2017)
RR
North Dakota(1/9/2017)
RR
Ohio(1/6/2017)
RR
Oklahoma(1/17/2017)
RR
Oregon(3/2/2017)
RR
Pennsylvania(1/6/2017)
RR
Puerto Rico(1/12/2017)
RR
Rhode Island(1/6/2017)
RR
South Carolina(1/6/2017)
RR
South Dakota(1/13/2017)
RR
Tennessee(1/10/2017)
RR
Texas(1/6/2017)
RR
Utah(1/9/2017)
RR
Vermont(1/12/2017)
RR
Virgin Islands(1/11/2017)
RR
Virginia(1/6/2017)
RR
Washington(3/13/2017)
RR
West Virginia(1/12/2017)
RR
Wisconsin(1/6/2017)
RR
Wyoming(1/9/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/14/2012
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
