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BS

Barbara J. Schrubey

REGAL SECURITIES
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 846136
BS

Professional summary

Barbara Jean Schrubey, who also goes by Barbara Jean Jacomet, Barbara Jean Kazmierski, is a registered financial professional currently at REGAL SECURITIES, INC. located in Milwaukee, Wisconsin.

Barbara is registered as a RR (Registered Representative) and started their career in finance in 1977. Barbara has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Barbara Jean Jacomet | Barbara Jean Kazmierski

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 Barbara Jean Schrubey'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

May 16, 2005 - Present

REGAL SECURITIES, INC.

Office #1: 250 Wisconsin Ave. Suite 1500, Milwaukee, WI 53202
BD
CRD#: 7297
Milwaukee, WI
Past

October 1, 2002 - May 17, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

January 15, 1990 - October 1, 2002

LISS FINANCIAL SERVICES

BD
CRD#: 21950
MILWAUKEE, WI
Past

October 17, 1988 - January 30, 1990

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

April 18, 1983 - October 17, 1988

THE MILWAUKEE COMPANY

BD
CRD#: 823
Past

June 1, 1979 - May 10, 1983

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

July 13, 1978 - January 16, 1980

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

December 5, 1977 - July 13, 1978

BECKER SECURITIES INCORPORATED

BD
CRD#: 6796

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
Arizona
(5/16/2005)
RR
Colorado
(3/23/2022)
RR
Florida
(5/16/2005)
RR
Illinois
(5/16/2005)
RR
Michigan
(10/1/2021)
RR
Minnesota
(5/16/2005)
RR
Wisconsin
(5/16/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1977
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOKIOS, GEORGECHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER718774
VILLAFLOR, ROBERT FUSTERSHAREHOLDER2374555
AKSOMITAITE, SKAISTEVICE PRESIDENT AND FINOP4852873
BOKIOS, EUGENIA THEADORA MSSENIOR VICE PRESIDENT & GENERAL COUNSEL2392199
BOKIOS, VICTORIA THEADORATREASURER/SECRETARY2421318
ENGELBRECHT, JEREMY AARONCHIEF COMPLIANCE OFFICER (INTERIM)3277607
HERRIN, SHAWN EVERETTPRESIDENT2311476

Disclosures

Regulatory Event11
Arbitration4

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#: 7297Milwaukee, WI 53202

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