HF
Herbert R. Franco
REGAL INVESTMENT ADVISORS
Eagle Mountain, UT
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CRD#: 5575090
HF
Herbert Robert Franco IIIREGAL INVESTMENT ADVISORS
Professional summary
Herbert Robert Franco III, who also goes by Hapaki Franco III, Hapaki Franco, Herbert Robert Franco, Herbert R Franco, Herbert Franco, Herbert Hapaki, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Eagle Mountain, Utah and REGULUS FINANCIAL GROUP, LLC located in Eagle Mountain, Utah.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Herbert has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Aliases
Hapaki Franco Iii | Hapaki Franco | Herbert Robert Franco | Herbert R Franco | Herbert Franco | Herbert Hapaki
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) NAME: HERBERT FRANCO INV REL: Y ADD: 3661 E Barton Court Eagle Mountain, UT 84005 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 03/04/2025 NO. HR/MO:1 NO. HR/MO DURING SEC TRADING: 1 DUTIES: LIFE, DI, LTC, FIXED ANNUITIES AND HEALTH 2) Business Name: Instacart - Investment Related: No - Address: 50 Beale Street #600 San Francisco, CA 94105 - Nature of Business: Grocery Delivery - Title or Relationship: Delivery Driver/Shopper - Start Date: 5/15/2025 - Hours per month: 2 - Hours per month during trading hours: 1 - Duties: Shopping for groceries and delivering items 3) Business Name: Uber Eats - Investment Related: No - Address: 1725 3rd Street San Francisco, CA 94158 - Nature of Business: Food Delivery - Title or Relationship: Delivery Driver - Start Date: 5/15/2025 - Hours per month: 2 - Hours per month during trading hours: 1 - Duties: Delivering ordered food from various restaurants and stores 4) Business Name: DoorDash - Investment Related: No - Address: 303 2nd Street South Tower Suite 800 San Francisco, CA 94107 - Nature of Business: Food Delivery - Title or Relationship: Delivery Driver - Start Date: 12/5/2025 - Hours per month: 2 - Hours per month during trading hours: 30minutes - Duties: Delivering ordered food from various restaurants and local merchants 5) Business Name: Spark (Walmart Spark/Delivery Drivers Inc/Walmart Inc) - Investment Related: No - Address: 702 S.W. 8th Street Bentonville, AR 72716 - Nature of Business: Retail/Grocery delivery - Title or Relationship: Delivery Driver - Start Date: 4/27/2026 - Hours per month: 16 - Hours per month during trading hours: 8 - Duties: Picking up and delivering retail and grocery orders 6) Business Name: Expedite (DLIVRD) - Investment Related: No - Address: 300 Welsh Road Suite 100 Horsham, PA 19044 - Nature of Business: Catering - Title or Relationship: Catering Delivery Driver - Start Date: 5/15/2026 - Hours per month: 6 - Hours per month during trading hours: 6 - Duties: Transporting and delivering catering and food orders 7) NAME: AMAZON INV REL: N ADD: 346 E 1600 S AMERICAN FORK, UT 84003 NATURE: WAREHOUSE ASSOCIATE POSITION: WAREHOUSE ASSOCIATE START DATE: 6/1/2025 NO. HR/MO: 25 NO. HR/MO DURING SEC TRADING: 6 DUTIES: ASSIST IN WAREHOUSE FOR FULLFILLMENT OF ORDERS AND PREPARING AND STAGING ORDERS FOR DELIVERY TO CUSTOMERS
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Robert Franco III'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
July 22, 2026 - Present
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Eagle Mountain, UT
Current
July 21, 2026 - Present
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Eagle Mountain, UT
Past
March 21, 2025 - November 28, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Lehi, UT
Past
March 21, 2025 - November 28, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Lehi, UT
Past
June 29, 2024 - November 6, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
March 4, 2024 - November 6, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
April 13, 2022 - September 8, 2023
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
KENTWOOD, MI
Past
June 30, 2015 - February 5, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HONOLULU, HI
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
Hawaii(7/22/2026)
RR
Utah(7/22/2026)
IAR
Utah(7/22/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2024
General Securities Representative ExaminationGeneral 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)Loading...
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
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.
