CO
Caleb M. O'quin
REGAL SECURITIES
Orlando, FL 32801
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CRD#: 7392982
CO
Professional summary
Caleb Michael O'quin, who also goes by Caleb Michael Oquin, is a registered financial professional currently at REGAL SECURITIES, INC. located in Orlando, Florida.
Caleb is registered as a RR (Registered Representative) and started their career in finance in 2021. Caleb has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caleb Michael Oquin
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.
CRS (Client Relationship Summary) - BD
Click below to view Caleb Michael O'quin'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 25, 2024 - Present
REGAL SECURITIES, INC.
Office #1: 189 South Orange Avenue Suite 1230s, Orlando, FL 32801BD
CRD#: 7297
Orlando, FL
Past
November 4, 2021 - November 3, 2023
ROBINHOOD FINANCIAL, LLC
BD
CRD#: 165998
Lake Mary, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(9/9/2024)
RR
Alaska(9/9/2024)
RR
Arizona(9/9/2024)
RR
Arkansas(9/9/2024)
RR
California(9/9/2024)
RR
Colorado(9/9/2024)
RR
Connecticut(9/9/2024)
RR
Delaware(9/9/2024)
RR
District of Columbia(9/9/2024)
RR
Florida(1/25/2024)
RR
Georgia(9/9/2024)
RR
Hawaii(9/9/2024)
RR
Idaho(9/9/2024)
RR
Illinois(9/9/2024)
RR
Indiana(9/9/2024)
RR
Iowa(9/9/2024)
RR
Kansas(9/9/2024)
RR
Kentucky(9/9/2024)
RR
Louisiana(9/9/2024)
RR
Maine(9/9/2024)
RR
Maryland(9/9/2024)
RR
Massachusetts(9/9/2024)
RR
Michigan(9/9/2024)
RR
Minnesota(9/9/2024)
RR
Missouri(9/9/2024)
RR
Nebraska(9/9/2024)
RR
Nevada(9/9/2024)
RR
New Hampshire(9/9/2024)
RR
New Jersey(9/9/2024)
RR
New Mexico(9/9/2024)
RR
New York(9/9/2024)
RR
North Carolina(9/9/2024)
RR
North Dakota(9/9/2024)
RR
Ohio(9/9/2024)
RR
Oklahoma(9/12/2024)
RR
Oregon(9/9/2024)
RR
Pennsylvania(9/9/2024)
RR
Puerto Rico(9/9/2024)
RR
Rhode Island(9/9/2024)
RR
South Carolina(9/9/2024)
RR
South Dakota(9/9/2024)
RR
Tennessee(9/9/2024)
RR
Texas(9/9/2024)
RR
Utah(9/9/2024)
RR
Vermont(9/9/2024)
RR
Virgin Islands(9/9/2024)
RR
Virginia(9/9/2024)
RR
Washington(9/9/2024)
RR
West Virginia(9/9/2024)
RR
Wisconsin(9/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/4/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
Company Information
REGAL SECURITIES, INC.
CRD#: 7297Orlando, FL 32801TRUST BUT VERIFY
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