VV
Vipul B. Varma
REGAL INVESTMENT ADVISORS LLC
Parker, CO
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CRD#: 6577577
VV
Professional summary
Vipul Braj Varma, who also goes by VIpul Varma, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Parker, Colorado and REGULUS FINANCIAL GROUP, LLC located in Parker, Colorado.
Vipul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Vipul has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vipul Varma
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)REAL ESTATE INVESTMENT POSITION: Owner NATURE: I have a real estate property that I purchased in 1999. I used to live in the house when I was a practicing engineer living in San Diego. After moving out of San Diego, I have rented the property. I currently have a 30 year mortgage when I refinanced in 2014. At this point, I do not intend to sell it. More than likely, when I move back to San Diego, I will probably live in the house. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/1999 ADDRESS: 2340 Eastridge Loop, Chula Vista CA 91915 DESCRIPTION: I manage the property, but that does not take more than 1-2 hrs a month. Mostly on the weekends, as far as depositing rental checks and making mortgage payments. From time to time, I have to address maintenance issues with the house.. 2)ADM FOOD CHEMICAL POSITION: Process Chemical Engineer Consultant NATURE: ADM is a corporation. Part of the fortune 500 INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/10/2019 ADDRESS: 2550 N Brush College Rd, Decatur IL 62526, United States DESCRIPTION: I will be working in the Bioproducts division of Archer Daniel Midland Company. I will be working on the Fermentation plant, which produced Amino Acids and Lactic acid 3)INSURANCE POSITION: Insurance Agent; NATURE: Selling multiple insurance products ; No NUMBER OF HOURS: 120 hrs per month; SECURITIES TRADING HOURS: 120 hrs per month; START DATE: 10/2016; ADDRESS: 17870 Calendula Drive, Parker, CO 80134, United States DESCRIPTION: Selling multiple insurance products. They include Fixed Index Annuity, Fixed Annuity, Registered Index Linked Annuity and Variable Annuity
CRS (Client Relationship Summary) - RIA
Click below to view Vipul Braj Varma'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 18, 2022 - Present
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Parker, CO
Current
January 18, 2022 - Present
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Parker, CO
Past
July 27, 2017 - January 24, 2022
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
PARKER, CO
Past
June 22, 2016 - January 24, 2022
FSC SECURITIES CORPORATION
BD
CRD#: 7461
PARKER, CO
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
California(1/18/2022)
RR
Colorado(1/18/2022)
IAR
Colorado(1/18/2022)
RR
Florida(4/3/2024)
RR
Illinois(1/18/2022)
RR
Kansas(1/18/2022)
RR
North Carolina(1/25/2022)
RR
Texas(1/18/2022)
IAR
Texas(1/18/2022)
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.
