JU
Jeffrey A. Umbaugh
REGAL INVESTMENT ADVISORS LLC
PLYMOUTH, IN 46563
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CRD#: 4299073
JU
Professional summary
Jeffrey Alan Umbaugh, who also goes by Jeff Umbaugh, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Plymouth, Indiana and REGULUS FINANCIAL GROUP, LLC located in Plymouth, Indiana.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Umbaugh
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. DBA: DILLON-UMBAUGH WEALTH MANAGEMENT/ UMBAUGH FINANCIAL INC.; INVESTMENT RELATED; 2901 MILLER DRIVE SUITE B PLYMOUTH IN; WEALTH MANAGEMENT FIRM; FINANCIAL PLANNER; INVESTMENT ADVISOR REP; FINANCIAL SERVICES INVESTMENT PLANNING; STARTED 01/2008; STARTED 160 HRS/MO. 2. EQUITY INDEXED ANNUITIES WITH ALLIANZ LIFE JACKSON NATIONAL LIFE; AVIVA, NORTH AMERICAN, LINCOLN FINANCIAL, ING; NOT INVESTMENT RELATED; 5 HRS/MO. PHOENIX LIFE POSITION: AGENT NATURE: FIXED ANNUITY INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 05/07/2012 ADDRESS: SUITE 8027, 30 DAN ROAD, CANTON MA 02021-2809 DESCRIPTION: SALE OF FIXED ANNUITY PRODUCT (SPIA) KUHN,DILLON,UMBAUGH, LLC POSITION: OWNER NATURE: TAX PREPARATION AND ACCOUNTING SERVICES INVESTMENT RELATED: NO NUMBER OF HOURS: 85 INVESTMENT RELATED HOURS: 85 START DATE: 07/01/2013 ADDRESS: 2901 MILLER DRIVE, SUITE B, PLYMOUTH IN 46563 DESCRIPTION: ROUTINE TAX RETURN PREPARATION SERVICES, BOOKKEEPING, AND ACCOUNTING SERVICES FOR BUSINESSES.�?,�, MY DUTIES AS OWNER ARE PROVIDING INFRASTRUCTURE AND SUPPORT TO TAX PREPARERS.�?, GARRO REALTY, INC. POSITION: VICE PRESIDENT NATURE: RENTAL PROPERTIES INVESTMENT RELATED: NO NUMBER OF HOURS: 20 INVESTMENT RELATED HOURS: 20 START DATE: 10/01/2006 ADDRESS: 2901 MILLER DRIVE, SUITE C, PLYMOUTH IN 46563 DESCRIPTION: MANAGEMENT, BOOK & RECORD KEEPING. PMG AGENCY POSITION: AGENT NATURE: HEALTH INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 4 START DATE: 09/24/2013 ADDRESS: 3711 RUPP DR., SUITE 103, FORT WAYNE IN 46835 DESCRIPTION: HEALTH INSURANCE SALES.�, OFFERING OF HEALTH INSURANCE POLICIES AVAIABLE ON THE NEW EXCHANGES PROVIDED BY THE AFFORDABLE HEALTH CARE ACT.�, REGAL INVESTMENT ADVISORS - INVESTMENT ADVISER REPRESENTATIVE Agent for Crump Life Insurance. Located at 4135 North Front Street, Harrisburg, PA, 17110. Phone: 847-230-1309. Started on 1/1/2016 and devotes 10 hours per month and 10 hours per trading hours. This is not investment related. Duties include placing any life insurance LTC disability business through Crump Life Insurance. They provide licensing with needed companies and manage cases. Supervisor is Eileen Shovlin and he is compensated through commissions. Business Name: O-Line Properties Inc - Investment Related: No - Address: 11166 Regency Ct, Plymouth, IN - Nature of Business: Rental Properties - Title or Relationship: President - Start Date: 9/25/2023 - Hours per month: 1 - Hours per month during trading hours: 0 - Duties: Establishment of corporation is the only action taken so far. Properties in Garro Realty may be divided and added into O-Line Properties.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Alan Umbaugh'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
February 12, 2015 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2901 Miller Dr. Suite B, Plymouth, IN 46563RIA
CRD#: 125004
PLYMOUTH, IN
Current
February 12, 2015 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 2901 Miller Dr. Suite B, Plymouth, IN 46563BD
CRD#: 150631
Plymouth, IN
Past
November 18, 2008 - March 6, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
PLYMOUTH, IN
Past
January 29, 2008 - December 31, 2008
UMBAUGH FINANCIAL
RIA
CRD#: 137818
PLYMOUTH, IN
Past
January 15, 2008 - March 6, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
PLYMOUTH, IN
Past
February 27, 2006 - December 31, 2007
UMBAUGH FINANCIAL
RIA
CRD#: 137818
PLYMOUTH, IN
Past
January 19, 2006 - January 11, 2008
USA ADVANCED PLANNERS INC.
BD
CRD#: 131282
PLYMOUTH, IN
Past
January 26, 2005 - January 18, 2006
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
PLYMOUTH, IN
Past
January 26, 2005 - January 18, 2006
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
May 6, 2003 - February 2, 2005
USA FINANCIAL SECURITIES LLC
RIA
CRD#: 103857
PLYMOUTH, IN
Past
September 18, 2002 - February 2, 2005
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
ADA, MI
Past
February 8, 2001 - September 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SOUTH BEND, IN
Past
January 10, 2001 - September 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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
IAR
Indiana(2/12/2015)
RR
Indiana(2/17/2015)
Exams
State Security Law Exam
State Security Law 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.
