TH
Tamara L. Higgins
REGAL INVESTMENT ADVISORS LLC
West Chester, PA 19382
Some features on this profile are disabled
CRD#: 4018847
TH
Professional summary
Tamara Leah Higgins, who also goes by Tamara Leah Neis, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in West Chester, Pennsylvania and REGULUS FINANCIAL GROUP, LLC located in West Chester, Pennsylvania.
Tamara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Tamara has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tamara Leah Neis
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)Business Name: Titanium Wealth Advisors, LLC Investment Related: Yes Address: 107 E Chestnut Street, Suite 200 West Chester PA 19380 Nature of Business: Insurance; Position, Title or Relationship: Insurance Agent Start Date: 10/1/2013 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Sales and marketing for life insurance and fixed products. 2) TruAdvisor Network. 1217 West Chester Pike, Suite A, West Chester, PA 19382. Insurance and investments. 40 hours/month, 0 during trading hours. Start; 12/2019. Holds workshops and meetings. 3) Legacy Lock; 1217 West Chester Pike, Suite A, West Chester, PA 19382; Software sales; 4 hours/month, 0 during trading hours; Start 3/2022; Commission; Provides access to Legacy Lock software to individuals to help them with estate planning. No tax advice is made. Receives flat fee for signing individuals up for service.
CRS (Client Relationship Summary) - RIA
Click below to view Tamara Leah Higgins'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
May 8, 2019 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 1217 West Chester Pike Suite A, West Chester, PA 19382RIA
CRD#: 125004
West Chester, PA
Current
May 8, 2019 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 1217 West Chester Pike Suite A, West Chester, PA 19382BD
CRD#: 150631
West Chester, PA
Past
April 19, 2016 - March 29, 2019
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
West Chester, PA
Past
September 30, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
West Chester, PA
Past
September 30, 2013 - March 29, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
West Chester, PA
Past
May 18, 2012 - October 2, 2013
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
WESTCHESTER, PA
Past
May 17, 2012 - October 2, 2013
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WESTCHESTER, PA
Past
July 13, 2011 - May 29, 2012
FORTITUDE ADVISORY GROUP L.L.C.
RIA
CRD#: 116083
GIG HARBOR, WA
Past
July 13, 2011 - May 29, 2012
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
DALLAS, TX
Past
September 24, 2010 - July 1, 2011
ALLEGIANT SECURITIES L.L.C.
BD
CRD#: 133912
MIAMI, FL
Past
September 7, 2010 - September 14, 2011
MUCH WEALTH MANAGEMENT, INC.
RIA
CRD#: 150356
SOUTHLAKE, TX
Past
September 25, 2009 - September 3, 2010
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
EXTON, PA
Past
September 17, 2009 - September 3, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
EXTON, PA
Past
June 29, 2007 - September 3, 2009
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
DOWNINGTOWN, PA
Past
June 29, 2007 - September 3, 2009
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
DOWNINGTOWN, PA
Past
April 11, 2005 - July 9, 2007
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
WILMINGTON, DE
Past
October 18, 2002 - July 9, 2007
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
WILMINGTON, DE
Past
September 23, 2002 - November 8, 2002
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
June 30, 2000 - September 6, 2000
ING FUNDS DISTRIBUTOR, INC.
BD
CRD#: 36461
WILMINGTON, DE
Past
October 13, 1999 - September 3, 2002
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
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
Arizona(5/8/2019)
RR
Delaware(5/8/2019)
RR
Florida(5/8/2019)
RR
Georgia(7/22/2021)
RR
Maryland(5/8/2019)
RR
New Jersey(5/8/2019)
RR
Pennsylvania(5/8/2019)
IAR
Pennsylvania(5/8/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
