Brian M. Royal

ROYAL WEALTH MANAGEMENT

Chesapeake, VA

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CRD#: 4811557

Professional summary

Brian Mason Royal, who also goes by Brian Royal, is a registered financial advisor currently at ROYAL WEALTH MANAGEMENT located in Chesapeake, Virginia.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 11 firms and has passed the Series 66, Series 34, Series 3, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Royal

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.

Mr. Brian Royal is a licensed insurance agent and Vice-President of Royal Wealth Insurance Agency Inc., which also uses the d/b/a Royal Wealth Management. Mr. Brian Royal is the President of Royal Wealth Tax Inc., which also uses the d/b/a Royal Wealth Management, a tax preparation service for individuals and small businesses.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Mason Royal'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®

None

Experience

Current

July 21, 2008 - Present

ROYAL WEALTH MANAGEMENT

RIA

CRD#: 147636

Chesapeake, VA

Past

June 13, 2012 - January 29, 2013

STRATEGIC TRANSITION SECURITIES, LLC

CRD#: 146952

MISSION VIEJO, CA

Past

May 25, 2007 - July 16, 2008

WORLD CAPITAL ADVISORS, LLC

RIA

CRD#: 135941

DENVER, CO

Past

May 22, 2007 - January 20, 2012

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

RUSTBURG, VA

Past

November 20, 2006 - May 16, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ROANOKE, VA

Past

November 20, 2006 - May 16, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ROANOKE, VA

Past

December 1, 2005 - July 20, 2006

STANFORD GROUP COMPANY

RIA

CRD#: 39285

MIAMI, FL

Past

November 29, 2005 - July 20, 2006

STANFORD GROUP COMPANY

CRD#: 39285

MIAMI, FL

Past

June 22, 2005 - November 4, 2005

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

RENTON, WA

Past

May 13, 2005 - February 1, 2006

OLD DOMINION FINANCIAL ADVISORS, LTD.

RIA

CRD#: 134898

LYNCHBURG, VA

Past

March 21, 2005 - June 28, 2005

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

January 20, 2005 - March 24, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

HARRISONBURG, VA

Past

January 20, 2005 - March 24, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 30, 2004 - December 17, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LYNCHBURG, VA

Past

August 6, 2004 - December 17, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

North Carolina
(8/14/2018)

IAR

Ohio
(1/9/2012)

IAR

Virginia
(7/21/2008)

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: 8/28/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 34

Date: 2/20/2012

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 1/30/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 7/21/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/5/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/2005

General Securities Principal Examination

Current Firm

ROYAL WEALTH MANAGEMENT

CRD#: 147636 / SEC#:

Idaho

Registered Investment Advisory firm - (4/25/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (8/14/2018 Approved)

Ohio

Registered Investment Advisory firm - (1/6/2012 Approved)

Virginia

Registered Investment Advisory firm - (7/21/2008 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Chesapeake, VA

Mailing Address

Phone number

(434) 609-4262

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	218
AUM (Assets Under Management)	$ 34,706,725

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

Brian M. Royal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Mason Royal's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC TRANSITION SECURITIES, LLC

WORLD CAPITAL ADVISORS, LLC

WORLD CAPITAL BROKERAGE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

PACIFIC WEST SECURITIES, INC.

OLD DOMINION FINANCIAL ADVISORS, LTD.

THE O.N. EQUITY SALES COMPANY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2004

Series 34

Date: 2/20/2012

Series 3

Date: 1/30/2012

Series 31

Date: 7/21/2005

Series 7

Date: 8/5/2004

Series 24

Date: 5/16/2005

Current Firm

ROYAL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROYAL WEALTH MANAGEMENT

TRUST BUT VERIFY

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