Robert M. Paris

Some features on this profile are disabled

CRD#: 704527

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.

Robert Mitchell Paris was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 7 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 2023 - August 1, 2024

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Flossmoor, IL

Past

January 20, 2011 - September 1, 2023

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

NEW ALBANY, IN

Past

August 10, 2005 - December 31, 2010

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

FLOSSMOOR, IL

Past

August 10, 2005 - December 31, 2010

FSC SECURITIES CORPORATION

CRD#: 7461

FLOSSMOOR, IL

Past

March 15, 2005 - August 4, 2005

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

September 22, 1986 - December 31, 1987

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

Past

August 29, 1983 - December 13, 1984

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

August 29, 1983 - December 13, 1984

EQUITABLE ADVISORS, LLC

CRD#: 6627

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/6/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

REGULUS FINANCIAL GROUP, LLC

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

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

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGAL HOLDINGS OF AMERICA, LLC	MEMBER
CARLSON, DONALD NATE MR.	PRESIDENT	2903454
LUTTRULL, KELLEY	FINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER	7363208
VEENSTRA, JILL ANNE	CHIEF COMPLIANCE OFFICER/AMLCO	3222590

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert M. Paris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN EQUITY INVESTMENT CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

LASALLE ST SECURITIES, L.L.C.

CONSECO FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/6/2005

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/14/2005

Series 6

Date: 8/26/1983

Current Firm

REGULUS FINANCIAL GROUP, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGULUS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors