Don R. Martin

REGAL INVESTMENT ADVISORS LLC

Westlake Village, CA 91361

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CRD#: 4013469

Professional summary

Don Ross Martin, CFP® is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Westlake Village, California.

Don is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Don has worked at 9 firms and has passed the Series 66 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.

Business Name: Horizon Advisors, Inc - Investment Related: Yes - Address: 2945 Townsgate Rd, Suite 200, Westlake Village, CA 91361 - Nature of Business: Investment Advisor Activities through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Insurance Agent/Investment Advisor Representative - Start Date: 9/1/2021 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. BOARD MEMBER FOR THE ROTRY CLUB OF WEST VILLAGE SUNRISE. PO BOX 3846, THOUSAND OAKS, CA, 91359. STARTED IN 10/2017. THIS IS NOT INVESTMENT RELATED. DEVOTES APPROX 2 HOURS PER MONTH AND 0 HOURS DURING TRADING HOURS. NO COMPENSATION; FOUNDATION POLICY-SETTING; I preside over a board consisting of 3 other members. We are stewards of a fund of approximately $140,000. As a board, we invest the fund prudently. The only transactions we make is when we make a deposit or a withdrawal. We also use the fund for holding money the Rotary Club of Westlake Village Sunrise brings through their fundraising efforts. The fund is invested with Capital Group, specifically in 2 mutual funds - one diversified stock fund and one diversified bond fund. I am not the broker of record on the investment account, however I am an authorized signor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Don Ross Martin's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

September 2, 2021 - Present

REGAL INVESTMENT ADVISORS LLC

Office #1: 2945 Townsgate Rd, Suite 200, Westlake Village, CA 91361

RIA

CRD#: 125004

Westlake Village, CA

Past

March 17, 2021 - August 31, 2021

CARRINGTON ADVISORS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

September 30, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, 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".

REGAL INVESTMENT ADVISORS LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(9/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/1/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/29/1999

General Securities Representative Examination

Current Firm

REGAL INVESTMENT ADVISORS LLC

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISOR CHOICE PROGRAM (4/25/2025)

LIONSHARE ADV PART 2A DISCLOSURE BROCHURE (4/25/2025)

REGAL INVESTMENT ADVISORS LLC ADV BROCHURE (4/25/2025)

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	Cover Page	Report
12/06/2023	Cover Page	Report
12/06/2023	Cover Page	Report

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.

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Don R. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Don Ross Martin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARRINGTON ADVISORS, LLC

REGAL INVESTMENT ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

ONYX WEALTH ADVISORS, INC.

CAMBRIDGE LEGACY SECURITIES L.L.C.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/1999

Series 7

Date: 9/29/1999

Current Firm

REGAL INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REGAL INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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