DL
Dustin E. Leach
REGAL INVESTMENT ADVISORS LLC
MONROE, MI 48161
Some features on this profile are disabled
CRD#: 4240352
DL
Professional summary
Dustin Edward Leach, AIF® is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Monroe, Michigan and REGULUS FINANCIAL GROUP, LLC located in Monroe, Michigan.
Dustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Dustin has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31 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.
1.RIVERBANK WEALTH MANAGEMENT - INDEPENDENT FINANCIAL SERVICES FIRM, STARTED IN OCT 2011 AND IS NON SECURITIES RELATED. OWNER, SENIOR WEALTH ADVISOR AND FULL FINANCIAL PLANNING. DEVOTES 160 HRS PER MONTH; 5 HRS DURING MARKET HRS. 2.REGAL INVESTMENT ADVISORS - RIA IS SECURITIES RELATED AND STARTED IN NOV 2010. DEVOTES 166 HRS PER MONTH; 166 HRS DURING MARKET HRS. 3.GREAT LAKES COILS - BOARD MEMBER, ADVISORY. START DATE: 05/2013, DEVOTES 2 HOURS PER MONTH. 4.RIVERBANK BROKERAGE SERVICES - PRESIDENT, MANAGEMENT OF COMPANY (90% OWNERSHIP). COMPANY FORMED FOR PAYROLL AND EXPENSES. START DATE: 10/2012 AND IS NON SECURITIES RELATED. DEVOTES 4 HRS PER MONTH; 4 HRS DURING MARKET HRS. 5/21/13 5. TRUSTEE OF E. & H. K. SCHOLARSHIP FOUNDATION. LOCATED AT 10 WASHINGTON ST, MONROE, MI, 48161. THIS IS INVESTMENT RELATED. HE DEVOTES 1 HOUR PER MONTH, 0 DURING TRADING HOURS. STARTED IN 7/2014. HE RECEIVES NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Dustin Edward Leach'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®
Experience
Current
November 12, 2010 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 72 W. Front St., Monroe, MI 48161RIA
CRD#: 125004
MONROE, MI
Current
January 2, 2015 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 72 W. Front St., Monroe, MI 48161BD
CRD#: 150631
Monroe, MI
Past
November 10, 2010 - December 31, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
MONROE, MI
Past
February 14, 2005 - November 19, 2010
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
LAMBERTVILLE, MI
Past
September 18, 2003 - November 19, 2010
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
LAMBERTVILLE, MI
Past
September 15, 2000 - September 2, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
California(5/17/2022)
RR
Florida(1/12/2015)
IAR
Michigan(11/12/2010)
RR
Michigan(1/7/2015)
RR
Ohio(4/19/2018)
RR
Texas(1/7/2015)
IAR
Texas(1/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
