DD
Daylen R. Dye
REGAL INVESTMENT ADVISORS LLC | Vice President, Financial Consultant
Kentwood, MI 49512
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CRD#: 5390612
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Professional summary
Daylen Robert Dye is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Kentwood, Michigan.
Daylen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Daylen has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Biography
I help high net worth families streamline what can be a complex and daunting process, the management of wealth that they worked so hard to accumulate. I believe my clients need to integrate tax, legacy, and investment planning as part of the financial planning process. With over a decade in the financial industry, I leverage my experience to put my clients in the position to pursue financial success.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daylen Robert Dye'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®
NoneEducation
Western Michigan University
Bachelor of Arts (BA) - Sociology
1999
Experience
Current
June 9, 2023 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 2687 44th Street Se, Kentwood, MI 49512RIA
CRD#: 125004
Kentwood, MI
Past
July 13, 2018 - June 8, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
May 2, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
GRAND RAPIDS, MI
Past
April 17, 2012 - June 8, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GRAND RAPIDS, MI
Past
October 20, 2010 - April 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TRAVERSE CITY, MI
Past
October 20, 2010 - April 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TRAVERSE CITY, MI
Past
November 16, 2009 - October 29, 2010
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
TRAVERSE CITY, MI
Past
November 13, 2009 - October 29, 2010
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
TRAVERSE CITY, MI
Past
June 1, 2009 - December 1, 2009
MORGAN STANLEY
BD
CRD#: 149777
TRAVERSE CITY, MI
Past
August 28, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TRAVERSE CITY, MI
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.Highlighted states indicate IAR registrations
IAR
Michigan(6/9/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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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Company Information
REGAL INVESTMENT ADVISORS LLC
Vice President, Financial ConsultantCRD#: 125004Kentwood, MI 49512TRUST BUT VERIFY
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Contact information
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