Colby Ezell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Colby Ezell, who also goes by Colby Ryan Ezell, was a registered financial professional .
Colby is a previously registered financial professional and started their career in finance in 2006. Colby had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2012 - November 4, 2014
RGL ADVISORS, LLC
February 28, 2007 - December 24, 2009
TD AMERITRADE, INC.
February 28, 2007 - December 24, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 15, 2007 - December 24, 2009
TD AMERITRADE, INC.
February 28, 2006 - February 6, 2007
ONEAMERICA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RGL ADVISORS, LLC
CRD#: 160176 / SEC#: , 8-69030
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RGL, INC. | OWNER | |
| MORRIS, MATTHEW ROSS | PRINCIPAL, EX. REP, PRESIDENT, CCO | |
| STERLING, DONALD WILLIAM | FINOP | 1192425 |
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.
