JD
James B. Dillon
REGAL INVESTMENT ADVISORS LLC
PLYMOUTH, IN 46563
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CRD#: 5148845
JD
Professional summary
James Brian Dillon, who also goes by James B Dillon, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Plymouth, Indiana and REGULUS FINANCIAL GROUP, LLC located in Plymouth, Indiana.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James B Dillon
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. DBA: DILLON-UMBAUGH WEALTH MANAGEMENT; INVESTMENT RELATED; 2901 MILLER DR STE B PLYMOUTH IN 46563; FINANCIAL PLANNING/INVESTMENTS; PARTNER; STARTED 01/01/2011; 160 HRS/MO. 2. Kuhn Dillon Umbaugh; INVESTMENT RELATED; SAME ADDRESS; FIXED INSURANCE SALES; EMPLOYEE; STARTED 01/01/2010; 120 HRS/MO. EQUITY INDEXED ANNUITIES WITH ALLIANZ, NORTH AMERICAN JNL, ING & LINCOLN; NOT INVESTMENT RELATED; 3 HRS/MO. KUHN,DILLON,UMBAUGH,LLC POSITION: OWNER NATURE: TAX PREPARATION AND ACCOUNTING SERVICES INVESTMENT RELATED: NO NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 5 START DATE: 07/01/2013 ADDRESS: 2901 MILLER DRIVE, SUITE B, PLYMOUTH IN 46563 DESCRIPTION: ROUTINE TAX RETURN PREPARATION, BOOKKEEPING, AND ACCOUNTING SERVICES FOR BUSINESSES.MY DUTIES ARE TO PROVIDE SUPPORT AND INFRASTRUCTURE FOR THE TAX PREPARERS. ANTHEM POSITION: INDEPENDENT AGENT NATURE: MEDICAL INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 2 START DATE: 01/04/2010 ADDRESS: 1351 WILLIAM HOWARD TAFT RD., CINCINNATI OH 45206 DESCRIPTION: MARKET AND SELL ANTHEM MEDICAL INSURANCE POLICIES TO INDIVIDUALS AND SMALL GROUPS OHIO NATIONAL POSITION: INDEPENDENT AGENT NATURE: SALES OF LIFE INSURANCE INVESTMENT RELATED: YES NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 2 START DATE: 07/02/2013 ADDRESS: PO BOX 237, CINCINNATI OH 45201 DESCRIPTION: MARKET AND SELL LIFE INSURANCE PRIMARILY TO INDIVIDUALS CRUMP LIFE INSURANCE SERVICES POSITION: INDEPENDENT AGENT NATURE: SALES OF LIFE INSURANCE INVESTMENT RELATED: YES NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 2 START DATE: 01/02/2013 ADDRESS: RIVERVIEW OFFICE CENTER, 4135 N. FRONT ST., HARRISBURG PA 17110 DESCRIPTION: SELL�???�?,�, LIFE INSURANCE POLICIES PRIMARILY TO INDIVIDUALS, USING CRUMP LIFE INSURANCE SERVICES AS A GENERAL AGENT.�???�?,�, I HAVE RECEIVED APPOINTMENTS WITH TRANSAMERICA, PRINCIPAL, ING, MINNESOTA LIFE, AND PRUDENTIAL THROUGH CRUMP. KDU HOLDINGS. 2901 Miller Dr, Ste B, Plymouth, IN 46563. RENTAL PROPERTY. NOT INVESTMENT RELATED. 1 HOUR/MONTH; NONE DURING TRADING HOURS. START; 1/2020. PARTNER. COLLECTION OF RENT FROM OFFICE BUILDING Business Name: INvestABLE Indiana - Investment Related: Yes - Address: PO Box 219342, Kansas City, MO 64121 - Nature of Business: ABLE account for son - Title or Relationship: Authorized individual - Start Date: 6/26/2024 - Hours per month: 1 - Hours per month during trading hours: 1 - Duties: Make deposits and direct allocations based on preselected allocations available for son's ABLE account.
CRS (Client Relationship Summary) - RIA
Click below to view James Brian Dillon'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
September 3, 2014 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2901 Miller Drive Suite B, Plymouth, IN 46563RIA
CRD#: 125004
PLYMOUTH, IN
Current
September 3, 2014 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 2901 Miller Dr. Suite B, Plymouth, IN 46563BD
CRD#: 150631
Plymouth, IN
Past
January 5, 2010 - September 24, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
PLYMOUTH, IN
Past
January 4, 2010 - September 24, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
PLYMOUTH, IN
Past
November 13, 2009 - December 3, 2009
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
SOUTH BEND, IN
Past
November 13, 2009 - December 3, 2009
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
SOUTH BEND, IN
Past
April 14, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
SOUTH BEND, IN
Past
April 14, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
SOUTH BEND, IN
Past
September 22, 2006 - March 30, 2009
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MISHAWAKA, IN
Past
August 25, 2006 - March 30, 2009
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MISHAWAKA, IN
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
Florida(1/19/2015)
RR
Illinois(4/23/2019)
RR
Indiana(9/3/2014)
IAR
Indiana(9/3/2014)
RR
Michigan(9/3/2014)
RR
Montana(12/4/2019)
RR
Ohio(12/11/2023)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004Plymouth, IN 46563TRUST BUT VERIFY
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