Steven J. Uyhely
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven John Uyhely was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 7 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2007 - December 31, 2023
REGAL BAY INVESTMENT GROUP, LLC
May 17, 2005 - July 5, 2023
REGAL SECURITIES, INC.
October 1, 2002 - May 17, 2005
NATIONAL SECURITIES CORPORATION
November 12, 1993 - October 1, 2002
LISS FINANCIAL SERVICES
October 28, 1993 - November 1, 1993
LISS FINANCIAL SERVICES
September 23, 1988 - November 9, 1993
FREDERICK & COMPANY, INC.
January 24, 1986 - September 29, 1988
THE MILWAUKEE COMPANY
January 19, 1980 - February 3, 1986
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
REGAL BAY INVESTMENT GROUP, LLC
CRD#: 121829 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 146 |
| AUM (Assets Under Management) | $ 47,600,000 |
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.
