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PO

Phillip L. Owens

REGULUS FINANCIAL GROUP
Greenville, MI 48838
Some features on this profile are disabled
CRD#: 6104195
PO

Professional summary

Phillip Lee Owens is a registered financial professional currently at REGULUS FINANCIAL GROUP, LLC located in Greenville, Michigan.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2014. Phillip has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Phillip Lee Owens's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 13, 2023 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 309 1/2 Lafayette St Ste 201, Greenville, MI 48838Office #2: 4829 E Beltline Ave Ne, Grand Rapids, MI 49525
BD
CRD#: 150631
Greenville, MI
Past

March 1, 2019 - November 15, 2023

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
GRAND RAPIDS, MI
Past

March 14, 2014 - March 1, 2019

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
COMSTOCK PARK, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alaska
(11/13/2023)
RR
Arizona
(11/13/2023)
RR
Arkansas
(11/13/2023)
RR
Florida
(11/13/2023)
RR
Idaho
(1/6/2025)
RR
Illinois
(11/13/2023)
RR
Indiana
(11/13/2023)
RR
Iowa
(11/13/2023)
RR
Kentucky
(11/13/2023)
RR
Michigan
(11/13/2023)
RR
Missouri
(11/13/2023)
RR
Nebraska
(11/13/2023)
RR
North Carolina
(1/19/2024)
RR
Ohio
(11/13/2023)
RR
Tennessee
(11/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/14/2014
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RF
REGULUS FINANCIAL GROUP, LLC
REGULUS ADVISORS, LLC | REGULUS, LLC | REGULUS FINANCIAL GROUP, LLC

CRD#: 150631 / SEC#: , 8-68275

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Mailing Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Phone number
(616) 224-2204
Established
Michigan since 12/28/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGAL HOLDINGS OF AMERICA, LLCMEMBER
CARLSON, DONALD NATE MR.PRESIDENT2903454
LUTTRULL, KELLEYFINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER7363208
VEENSTRA, JILL ANNECHIEF COMPLIANCE OFFICER/AMLCO3222590

Disclosures

Regulatory Event5

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.

Company Information

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631Greenville, MI 48838

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