AT
Aaron C. Tice
REGAL INVESTMENT ADVISORS LLC
Elk River, MN
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CRD#: 5643342
AT
Professional summary
Aaron Christopher Tice is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Elk River, Minnesota and REGULUS FINANCIAL GROUP, LLC located in Elk River, Minnesota.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Aaron has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
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.
D/B/A CIRRUS RETIREMENT SOLUTIONS
POSITION: FOUNDER/FINANCIAL ADVISOR NATURE: FINANCIAL ADVISING FIRM INVESTMENT RELATED: YES NUMBER OF HOURS: 40 INVESTMENT RELATED HOURS: 40 START DATE: 08/19/2010
ADDRESS: 19319 NORFOLK STREET NW, ELK RIVER MN 55330
DESCRIPTION: COMPREHENSIVE FINANCIAL PLANNING
CIRRUS RETIREMENT SOLUTIONS, LTD.
POSITION: FOUNDER/FINANCIAL ADVISOR NATURE: FINANCIAL ADVISING INVESTMENT RELATED: YES NUMBER OF HOURS: 40 INVESTMENT RELATED HOURS: 40 START DATE: 08/19/2010
ADDRESS: 19319 NORFOLK STREET NW, ELK RIVER MN 55330
DESCRIPTION: I AM THE SOLE OWNER/PROPRIETOR OF CIRRUS RETIREMENT SOLUTIONS, LTD. SPECIFIC DUTIES ARE FINANCIAL ADVISING FOR PROSPECTIVE CLIENTS AND CURRENT CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Christopher Tice'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
June 26, 2017 - Present
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Elk River, MN
Current
June 26, 2017 - Present
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Elk River, MN
Past
October 5, 2009 - June 29, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ELK RIVER, MN
Past
July 20, 2009 - June 29, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ELK RIVER, MN
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(1/6/2025)
RR
Florida(1/17/2023)
RR
Iowa(6/26/2017)
IAR
Minnesota(6/26/2017)
RR
Minnesota(7/12/2017)
RR
Missouri(3/6/2024)
RR
Wisconsin(3/6/2024)
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
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.
