Stanley H. Hamel
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.
Stanley Herschel Hamel was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1974. Stanley had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2004 - April 13, 2006
REGAL SECURITIES, INC.
July 22, 2003 - November 30, 2006
SCF SECURITIES, INC.
February 13, 1997 - July 1, 2003
HORNOR, TOWNSEND & KENT, LLC
September 21, 1989 - August 1, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
September 21, 1989 - January 21, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 10, 1989 - September 1, 1989
ROBERT W. BAIRD & CO. INCORPORATED
March 10, 1989 - September 1, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 18, 1986 - April 4, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
March 27, 1986 - September 3, 1986
LOWRY FINANCIAL SERVICES CORPORATION
January 13, 1984 - April 18, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
December 3, 1982 - January 18, 1984
LOWRY FINANCIAL SERVICES CORPORATION
May 27, 1981 - December 28, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
November 19, 1974 - July 9, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
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 1
Date: 11/14/1974
Registered Representative ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
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.
