Brian D. Yarch

REGAL INVESTMENT ADVISORS

KENTWOOD, MI 49512

CRD#: 4075003

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Professional summary

Brian Dale Yarch was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Prior to being barred, Brian has worked at 8 firms, which includes BRIGHT OWL INVESTMENT ADVISORS, AMERICAN PORTFOLIOS ADVISORS INC, AMERICAN PORTFOLIOS FINANCIAL SERVICES INC., OSAIC SERVICES INC., SUNAMERICA SECURITIES INC., VOYA FINANCIAL ADVISORS INC..

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian D Yarch

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Dale Yarch'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

July 2, 2010 - Present

REGAL INVESTMENT ADVISORS LLC

Office #1: 2687 44th Street Se, Kentwood, MI 49512

RIA

CRD#: 125004

KENTWOOD, MI

Current

July 16, 2010 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 2687 44th Street, Kentwood, MI 49512Office #2: 2687 44th Street, Se, Suite 101, Kentwood, MI 49512

CRD#: 150631

KENTWOOD, MI

Past

September 25, 2015 - February 16, 2018

BRIGHT OWL INVESTMENT ADVISORS

RIA

CRD#: 168851

KENTWOOD, MI

Past

May 28, 2010 - December 31, 2014

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

February 12, 2010 - December 31, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

KENTWOOD, MI

Past

October 31, 2005 - February 17, 2010

OSAIC SERVICES, INC.

CRD#: 133763

ADA, MI

Past

July 6, 2000 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

May 16, 2000 - July 21, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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.

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

Alabama
(5/29/2015)

Alaska
(1/7/2015)

Arizona
(5/22/2015)

Arkansas
(1/7/2015)

California
(1/7/2015)

Colorado
(1/9/2015)

Connecticut
(1/7/2015)

Delaware
(2/9/2015)

Florida
(1/12/2015)

Georgia
(1/26/2015)

Illinois
(1/8/2015)

Indiana
(1/14/2015)

Iowa
(1/12/2015)

Kentucky
(1/12/2015)

Maine
(2/9/2015)

Maryland
(1/8/2015)

Massachusetts
(1/9/2015)

IAR

Michigan
(7/2/2010)

Michigan
(8/30/2010)

Minnesota
(1/8/2015)

Missouri
(1/7/2015)

Montana
(1/8/2015)

Nevada
(1/21/2015)

New Jersey
(1/9/2015)

New Mexico
(1/29/2015)

New York
(1/23/2015)

North Carolina
(1/23/2015)

North Dakota
(1/13/2015)

Ohio
(1/7/2015)

Oregon
(1/9/2015)

Pennsylvania
(1/8/2015)

Rhode Island
(1/7/2015)

South Carolina
(1/21/2015)

South Dakota
(1/8/2015)

Tennessee
(11/29/2022)

Texas
(1/7/2015)

IAR

Texas
(1/13/2021)

Utah
(1/12/2015)

Virginia
(1/8/2015)

Washington
(1/8/2015)

Wisconsin
(1/7/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/6/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/15/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 3/10/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/15/2009

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/25/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/10/2001

General Securities Principal Examination

SRO Registrations

FINRA

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)

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)

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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Advisor Monitoring

Firm Stability Insights

Brian D. Yarch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Dale Yarch's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGULUS FINANCIAL GROUP, LLC

BRIGHT OWL INVESTMENT ADVISORS

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/2001

Series 63

Date: 9/6/2000

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2001

Series 6

Date: 5/15/2000

Series 14

Date: 1/2/2023

Series 4

Date: 3/10/2009

Series 27

Date: 1/15/2009

Series 53

Date: 1/25/2008

Series 24

Date: 5/10/2001

FINRA

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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