JM
Jon M. Mccardle
REGAL INVESTMENT ADVISORS LLC
Lafayette, IN 47901
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CRD#: 4369983
JM
Professional summary
Jon Michael Mccardle, AIF® is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Lafayette, Indiana and REGULUS FINANCIAL GROUP, LLC located in Lafayette, Indiana.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jon has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
Business Name: Summit Retirement Advisors, LLC - Investment Related: Yes - Address: 310 Ferry Street, Lafayette, IN 47901- Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC and Investment Advisory Activities through Regal Investment Advisors using a DBA name; Insurance - Title or Relationship: Insurance Agent/Financial Advisor - Start Date: 9/01/2024 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. Business Name: Summit Financial Group of Indiana (SFGI, INC) - Investment Related: Yes - Address: 310 Ferry Street, Lafayette, IN 47901- Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC and Investment Advisory Activities through Regal Investment Advisors using a DBA name; Insurance - Title or Relationship: Insurance Agent/Financial Advisor - Start Date: 1/17/2008 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial and insurance services. Business Name: Hardwork, LLC - Investment Related: No - Address: 6401 Cherry Creek Ct, West Lafayette, IN 47906- Nature of Business: Holding company for real estate - Title or Relationship: President - Start Date: 4/20/2022 - Hours per month: 5 - Hours per month during trading hours: 0 - Duties: This is a holding company for my commercial building I own at 310 Ferry St, Lafayette, IN 47901 It is paid rent by SFGI, INC and and is responsible for paying the mortgage and any building related expenses that occur going forward. The only employees are myself and my wife Tammie.
CRS (Client Relationship Summary) - RIA
Click below to view Jon Michael Mccardle'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
April 5, 2012 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 310 Ferry Street, Lafayette, IN 47901RIA
CRD#: 125004
Lafayette, IN
Current
January 2, 2015 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 310 Ferry Street, Lafayette, IN 47901BD
CRD#: 150631
Lafayette, IN
Past
February 29, 2012 - December 31, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
LAFAYETTE, IN
Past
October 11, 2010 - June 5, 2012
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
LAFAYETTE, IN
Past
October 11, 2010 - March 1, 2012
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
LAFAYETTE, IN
Past
June 24, 2002 - October 13, 2010
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
LAFAYETTE, IN
Past
May 7, 2002 - October 13, 2010
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
LAFAYETTE, IN
Past
May 25, 2001 - April 29, 2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
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
Alaska(1/2/2015)
RR
Arizona(8/21/2024)
RR
Connecticut(5/30/2017)
RR
Florida(1/2/2015)
IAR
Indiana(4/5/2012)
RR
Indiana(1/2/2015)
IAR
Louisiana(8/21/2024)
RR
Minnesota(8/21/2024)
RR
New Jersey(1/7/2015)
RR
Ohio(1/2/2015)
RR
Texas(10/29/2019)
IAR
Texas(8/21/2024)
RR
Virginia(8/21/2024)
RR
Washington(8/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Lafayette, IN 47901TRUST BUT VERIFY
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