MP
Marina B. Peacock
REGAL INVESTMENT ADVISORS LLC
Capron, IL
Some features on this profile are disabled
CRD#: 6105367
MP
Professional summary
Marina B Peacock, who also goes by Marina B Bolte, Marina B Lamberti, Marina Bennita Lamberti, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Capron, Illinois and REGULUS FINANCIAL GROUP, LLC located in Capron, Illinois.
Marina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Marina has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marina B Bolte | Marina B Lamberti | Marina Bennita Lamberti
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.
*424431 - RPFab, LLC; Investment related No; Marengo, IL; Retail/Online Stores; Partner (proprietor, partner, officer, director, employee, trustee, agent); 08/2019; During business hours: 0+; After business hours: 8; Accounting/Bookkeeping
CRS (Client Relationship Summary) - RIA
Click below to view Marina B Peacock'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
January 6, 2022 - Present
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Capron, IL
Current
January 3, 2022 - Present
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Capron, IL
Past
January 3, 2022 - January 3, 2022
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Poplar Grove, IL
Past
February 23, 2021 - December 13, 2021
MORGAN STANLEY
RIA
CRD#: 149777
ROCKFORD, IL
Past
February 23, 2021 - December 13, 2021
MORGAN STANLEY
BD
CRD#: 149777
ROCKFORD, IL
Past
March 15, 2019 - February 5, 2021
BATES FINANCIAL ADVISORS, INC.
RIA
CRD#: 116515
ROCKFORD, IL
Past
February 26, 2019 - February 27, 2019
BATES FINANCIAL ADVISORS, INC.
RIA
CRD#: 116515
ROCKFORD, IL
Past
February 26, 2019 - February 5, 2021
BATES SECURITIES, INC.
BD
CRD#: 10759
ROCKFORD, IL
Past
September 26, 2016 - February 5, 2019
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
Rockford, IL
Past
September 26, 2016 - February 5, 2019
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
Rockford, IL
Past
May 14, 2014 - September 23, 2016
BATES FINANCIAL ADVISORS, INC.
RIA
CRD#: 116515
ROCKFORD, IL
Past
May 13, 2013 - September 23, 2016
BATES SECURITIES, INC.
BD
CRD#: 10759
ROCKFORD, IL
Past
October 15, 2012 - November 20, 2012
EDWARD JONES
RIA
CRD#: 250
ST. LOUIS, MO
Past
September 26, 2012 - November 20, 2012
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Illinois(1/3/2022)
IAR
Illinois(1/6/2022)
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.
