Robert E. Peltz

REGULUS FINANCIAL GROUP

Rogers City, MI 49779

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CRD#: 727762

Professional summary

Robert Emil Peltz is a registered financial professional currently at REGULUS FINANCIAL GROUP, LLC located in Rogers City, Michigan.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 6 firms and has passed the Series 63, SIE 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) - BD

Click below to view Robert Emil Peltz'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 6, 2014 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 465 N. 3rd Street, Rogers City, MI 49779

CRD#: 150631

Rogers City, MI

Past

February 25, 2010 - November 6, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ROGERS CITY, MI

Past

October 31, 2005 - March 1, 2010

OSAIC SERVICES, INC.

CRD#: 133763

ROGERS CITY, MI

Past

July 13, 2000 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 13, 1981 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 13, 1981 - July 19, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

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

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

Indiana
(7/20/2015)

Michigan
(11/6/2014)

Minnesota
(10/26/2020)

Ohio
(4/17/2017)

Wisconsin
(8/27/2024)

Exams

State Security Law Exam

Series 63

Date: 6/30/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/10/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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)

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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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert E. Peltz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Emil Peltz's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/1981

SIE

Date: 10/1/2018

Series 6

Date: 4/10/1981

FINRA

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

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