LC
Lee C. Cole
REGAL INVESTMENT ADVISORS LLC
KENTWOOD, MI 49512
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CRD#: 4772324
LC
Professional summary
Lee Charles Cole is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Kentwood, Michigan and REGULUS FINANCIAL GROUP, LLC located in Petoskey, Michigan.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Lee has worked at 10 firms and has passed the Series 65, Series 63, Series 66, SIE 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.
Business Name: Northwind Labradors - Investment Related: No - Address: 10290 Wildwood Rd, Petoskey, MI - Nature of Business: Selling puppies - Title or Relationship: Spouse of owner (wife) - Start Date: 12/20/2015 - Hours per month: 5 - Hours per month during trading hours: 0 - Duties: Assist wife with sale of puppies
CRS (Client Relationship Summary) - RIA
Click below to view Lee Charles Cole'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 18, 2015 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2687 44th St Se, Kentwood, MI 49512Office #2: 314 Howard St Unit #2, Petoskey, MI 49770RIA
CRD#: 125004
KENTWOOD, MI
Current
October 19, 2017 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 314 Howard St Unit #2, Petoskey, MI 49770BD
CRD#: 150631
Petoskey, MI
Past
August 14, 2015 - April 12, 2016
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
KENTWOOD, MI
Past
January 2, 2015 - July 31, 2015
BLUEROCK CAPITAL MARKETS LLC
BD
CRD#: 136974
NEW YORK, NY
Past
August 5, 2014 - February 3, 2015
INFINITY CAPITAL MANAGEMENT LLC
RIA
CRD#: 151697
LANSING, MI
Past
July 22, 2013 - December 31, 2014
EDI FINANCIAL, INC.
BD
CRD#: 15699
LANSING, MI
Past
June 5, 2013 - December 31, 2013
INFINITY CAPITAL MANAGEMENT LLC
RIA
CRD#: 151697
LANSING, MI
Past
February 13, 2008 - February 24, 2009
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
WHEATON, IL
Past
March 1, 2007 - February 7, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
GRAND RAPIDS, MI
Past
March 30, 2006 - March 9, 2007
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
GRAND RAPIDS, MI
Past
March 2, 2006 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GRAND RAPIDS, MI
Past
February 28, 2005 - July 8, 2005
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
June 4, 2004 - November 23, 2004
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Georgia(12/3/2020)
RR
Indiana(1/15/2025)
IAR
Michigan(8/18/2015)
RR
Michigan(10/19/2017)
RR
New Mexico(12/3/2020)
RR
Pennsylvania(1/15/2025)
RR
Texas(12/3/2020)
Exams
State Security Law Exam
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.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Kentwood, MI 49512TRUST BUT VERIFY
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