Kris R. Reigler

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CRD#: 4038871

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kris Ryan Reigler was a registered financial professional .

Kris is a previously registered financial professional and started their career in finance in 1999. Kris had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

1) REIGLER LAND MGT, LLC; Non-Investment Related; Freeport, MI; Real Estate; Landlord; Start Date 08/1997; 1 hour more or less per month with no hours occurring during trading hours; Oversee accounts and receivables for farming property. 2) FMG Marketing; 6203 Sugarbush Lane, Freeport, MI 49325; Investment related; 40 hrs/month; Start 2/1/2022; marketing and wholesaling to independent advisors of insurance and mutual fund solutions.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 24, 2023 - October 6, 2023

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Freeport, MI

Past

July 1, 2022 - September 30, 2022

IP FINANCIAL ADVISORY SERVICES LLC

RIA

CRD#: 305772

Freeport, MI

Past

March 23, 2022 - September 30, 2022

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

September 20, 2018 - December 7, 2021

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

July 13, 2017 - July 12, 2018

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

November 24, 2015 - December 31, 2016

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

December 22, 2014 - August 19, 2015

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

October 6, 2011 - December 10, 2014

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

August 27, 2010 - June 20, 2011

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

HASTINGS, MI

Past

December 21, 2009 - August 2, 2010

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

KALAMAZOO, MI

Past

March 26, 2009 - December 31, 2009

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

KENTWOOD, MI

Past

October 30, 2007 - February 24, 2009

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

March 20, 2007 - October 5, 2007

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

May 31, 2005 - March 13, 2007

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

August 17, 2000 - March 7, 2006

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

October 13, 1999 - August 22, 2000

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

October 13, 1999 - August 22, 2000

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/13/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/3/2002

Investment Company Products/Variable Contracts Principal 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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kris R. Reigler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IP FINANCIAL ADVISORY SERVICES LLC

INNOVATION PARTNERS LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

BROKER DEALER FINANCIAL SERVICES CORP.

EQUITABLE DISTRIBUTORS, LLC

BROKER DEALER FINANCIAL SERVICES CORP.

CETERA INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

SIGNATOR FINANCIAL SERVICES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

ESSEX NATIONAL SECURITIES, LLC

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

Primary Firm SEC Registration

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/13/2022

Series 63

Date: 12/11/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/10/2003

Series 6

Date: 10/12/1999

Series 26

Date: 10/3/2002

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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