Russell S. Maltes

REGENCY INVESTMENT ADVISORS

Fresno, CA 93711

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CRD#: 4304383

Professional summary

Russell Stalin Maltes, CFP®, who also goes by Russell Maltes, is a registered financial advisor currently at REGENCY INVESTMENT ADVISORS INC located in Fresno, California.

Russell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Russell has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Russell Maltes

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 Russell Stalin Maltes'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

December 6, 2019 - Present

REGENCY INVESTMENT ADVISORS INC

Office #1: 1312 W Herndon, Suite 101, Fresno, CA 93711

RIA

CRD#: 106990

Fresno, CA

Current

October 14, 2025 - Present

Office #1: 755 North Peach Avenue Suite I7, Clovis, CA 93611

CLOVIS, CA

Past

November 18, 2015 - December 4, 2019

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Clovis, CA

Past

January 5, 2004 - December 4, 2019

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

May 6, 2003 - December 5, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 5, 2003 - December 5, 2003

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

FRESNO, CA

Past

January 25, 2001 - March 31, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FRESNO, CA

Past

December 19, 2000 - March 31, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

REGENCY INVESTMENT ADVISORS INC

CRD#: 106990 / SEC#: 801-44406

RIA

Registered Investment Advisory firm - (7/27/1993 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(12/6/2019)

IAR

Texas
(1/18/2022)

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: 1/22/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2000

General Securities Representative Examination

Current Firm

REGENCY INVESTMENT ADVISORS INC

CRD#: 106990 / SEC#: 801-44406

RIA

Registered Investment Advisory firm - (7/27/1993 Approved)

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Contact information

Main Address

1312 W Herndon, Suite 101, Fresno, CA 93711

Mailing Address

Phone number

(559) 438-2640

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,914
AUM (Assets Under Management)	$ 1,013,305,689

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

Russell S. Maltes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Stalin Maltes's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

REGENCY INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2000

Current Firm

REGENCY INVESTMENT ADVISORS INC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGENCY INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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