Lyman C. Howell

REGAL OAK FINANCIAL

Chicago, IL

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CRD#: 5038312

Professional summary

Lyman Clayton Howell, CFP®, who also goes by Lyman Howell, is a registered financial advisor currently at REGAL OAK FINANCIAL, LLC located in Chicago, Illinois.

Lyman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Lyman has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lyman Howell

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 Lyman Clayton Howell'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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

May 3, 2016 - Present

REGAL OAK FINANCIAL, LLC

RIA

CRD#: 283187

Chicago, IL

Past

May 3, 2016 - December 31, 2023

REGAL OAK FINANCIAL, LLC

RIA

CRD#: 283187

CHICAGO, IL

Past

May 2, 2013 - October 3, 2014

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

DOWNERS GROVE, IL

Past

October 5, 2009 - October 3, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

DOWNERS GROVE, IL

Past

June 21, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

June 21, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

January 5, 2006 - May 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHICAGO, IL

Past

December 15, 2005 - May 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICAGO, IL

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

Illinois
(5/3/2016)

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: 12/30/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/3/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/8/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/14/2005

General Securities Representative Examination

Current Firm

REGAL OAK FINANCIAL, LLC

REGAL OAK | REGAL OAK FINANCIAL, LLC | REGAL OAK FINANCIAL LLC

CRD#: 283187 / SEC#:

Illinois

Registered Investment Advisory firm - (5/3/2016 Approved)

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Contact information

Main Address

Frankfort, IL

Mailing Address

23060 Devonshire Ln, Frankfort, IL 60423-8573

Phone number

(773) 220-6713

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 56,332

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

Lyman C. Howell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lyman Clayton Howell's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGAL OAK FINANCIAL, LLC

REGAL OAK FINANCIAL, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2005

SIE

Date: 10/3/2014

Series 31

Date: 8/8/2007

Series 7

Date: 12/14/2005

Current Firm

REGAL OAK FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGAL OAK FINANCIAL, LLC

TRUST BUT VERIFY

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