PB
Paul M. Bailley
REGAL INVESTMENT ADVISORS LLC
GREENVILLE, SC 29607
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CRD#: 4469159
PB
Professional summary
Paul M. Bailley is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Greenville, South Carolina.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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)I AM A LICENSED INSURANCE AGENT AND OFFER LIFE INSURANCE, DISABILITY, FIXED AND FIXED INDEXED ANNUITIES TO CLIENTS AS NEEDED. I AM CONTRACTED WITH SEVERAL DIFFERENT INSURANCE COMPANIES FOR THIS AND DEVOTE 10+ HOURS PER WEEK DURING TRADING HOURS. 2) I AM ALSO AN INVESTMENT ADVISOR REPRESENTATIVE (IAR) WITH REGAL INVESTMENT ADVISORS 2687 44TH ST. KENTWOOD, MI. INVESTMENT RELATED. START DATE WAS AUG, 2015 AND I DEVOTE APPROXIMATELY 30 HOURS PER MONTH DURING SECURITIES TRADING HOURS TO THIS BUSINESS OFFERING INVESTMENT ADVISORY SERVICES. Business Name: Shift Sports, LLC - Investment Related: No - Address: 628 Driftwood Dr Greer, SC 29651 - Nature of Business: LLC that owns a junior hockey team in Maine - Title or Relationship: Passive Investor Start Date: 10/1/2023 - Hours per month: 0 - Hours per month during trading hours: 0 - Duties: 5% passive owner of the Maine Nordiques junior hockey team in Maine
CRS (Client Relationship Summary) - RIA
Click below to view Paul M. Bailley'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
August 17, 2015 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 218 Adley Way, Greenville, SC 29607RIA
CRD#: 125004
GREENVILLE, SC
Past
May 3, 2013 - August 18, 2015
TRIUMPH WEALTH ADVISORS, INC.
RIA
CRD#: 153175
GREENVILLE, SC
Past
March 16, 2012 - August 18, 2015
TAYLOR CAPITAL MANAGEMENT INC.
BD
CRD#: 43559
GREENVILLE, SC
Past
October 8, 2009 - May 4, 2011
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
GREENVILLE, SC
Past
October 5, 2009 - May 4, 2011
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
GREENVILLE, SC
Past
May 13, 2004 - August 3, 2009
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
GREENVILLE, SC
Past
October 29, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
GREENVILLE, SC
Past
October 29, 2001 - August 3, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GREENVILLE, SC
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.Highlighted states indicate IAR registrations
IAR
South Carolina(8/17/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Greenville, SC 29607TRUST BUT VERIFY
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