PO
Phillip W. Olney
REGAL INVESTMENT ADVISORS LLC
Ventura, CA 93003
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CRD#: 5519378
PO
Professional summary
Phillip Wayne Olney, who also goes by Phillip Olney, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Ventura, California and REGULUS FINANCIAL GROUP, LLC located in Ventura, California.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Phillip has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phillip Olney
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)AMERICAN SENIOR BENEFITS.
POSITION: Insurance Agent. NATURE: Fixed insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 50 START DATE: 02/22/2017
ADDRESS: 9534 Topanga Canyon Blvd, #9534, Chatsworth CA 91311
DESCRIPTION: Servicing and sales of fixed life products.
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Wayne Olney'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
March 8, 2019 - Present
REGAL INVESTMENT ADVISORS LLC
Office #1: 5808 Telephone Road Ste 200, Ventura, CA 93003RIA
CRD#: 125004
Ventura, CA
Current
March 7, 2019 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 5808 Telephone Road Ste 200, Ventura, CA 93003BD
CRD#: 150631
Ventura, CA
Past
March 1, 2019 - March 8, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CHATSWORTH, CA
Past
March 1, 2019 - March 8, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CHATSWORTH, CA
Past
February 23, 2017 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
CHATSWORTH, CA
Past
February 22, 2017 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
CHATSWORTH, CA
Past
August 29, 2011 - March 15, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WOODLAND HILLS, CA
Past
May 12, 2008 - March 15, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WOODLAND HILLS, CA
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
Arizona(3/7/2019)
RR
California(3/7/2019)
IAR
California(3/8/2019)
Exams
State Security Law Exam
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#: 125004Ventura, CA 93003TRUST BUT VERIFY
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