David Allen Regis
Professional Summary
David Allen Regis was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1979 - 2004. David had worked at 8 firms and has passed the Series 63, Series 1 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST WESTERN SECURITIES | FIRST WESTERN SECURITIES, INC.
Contact Information
Main Address
669 Airport Freeway #409 Suite 409, Hurst, TX 76053Mailing Address
669 Airport Freeway #409, Hurst, TX 76053Phone Number
(817) 553-1492Established
Texas since 03/27/1987Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
7FINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
35AUM (Assets Under Management)
$48,648,049Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jun 1979Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 1985About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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