David A. Regis

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CRD#: 868184

Professional summary

David Allen Regis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, David had worked at 8 firms, which includes FIRST WESTERN SECURITIES INC., USALLIANZ SECURITIES INC., PRO-INTEGRITY SECURITIES INC., THE LEADERS GROUP INC., FSC SECURITIES CORPORATION, PFS INVESTMENTS INC., USLIFE EQUITY SALES CORP., ENTERPRISE FUND DISTRIBUTORS INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2003 - April 14, 2004

FIRST WESTERN SECURITIES, INC.

CRD#: 19537

HURST, TX

Past

January 2, 2001 - December 31, 2002

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

January 5, 1999 - December 31, 2000

PRO-INTEGRITY SECURITIES, INC.

CRD#: 44707

LONGVIEW, TX

Past

April 19, 1998 - October 30, 1998

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

September 15, 1997 - December 31, 1997

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

October 6, 1981 - August 19, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

January 28, 1981 - September 18, 1981

USLIFE EQUITY SALES CORP.

CRD#: 7962

Past

July 2, 1979 - March 2, 1981

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/22/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 6/25/1979

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/18/1985

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FIRST WESTERN SECURITIES, INC.

FIRST WESTERN SECURITIES | FIRST WESTERN SECURITIES, INC.

CRD#: 19537 / SEC#: 801-70430, 8-37613

RIA

Registered Investment Advisory firm - SEC (6/18/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/15/2013 Approved)

California

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Georgia

Registered Investment Advisory firm - SEC (9/18/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (10/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/30/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

669 Airport Freeway #409 Suite 409, Hurst, TX 76053

Mailing Address

669 Airport Freeway #409, Hurst, TX 76053

Phone number

(817) 553-1492

Established

Texas since 03/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FIRST WESTERN SECURITIES VOTING TRUST	VOTING TRUST
FERGUSON, RANDAL EARL	PRESIDENT/CHIEF COMPLIANCE OFFICER	859884
KILPATRICK, BRYAN CRAIG	CFO/FOP	1278558

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 41,715,412

Disclosures

Regulatory Event

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.

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David A. Regis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USALLIANZ SECURITIES, INC.

PRO-INTEGRITY SECURITIES, INC.

THE LEADERS GROUP, INC.

FSC SECURITIES CORPORATION

PFS INVESTMENTS INC.

USLIFE EQUITY SALES CORP.

ENTERPRISE FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/22/1982

Series 1

Date: 6/25/1979

Series 26

Date: 3/18/1985

Current Firm

FIRST WESTERN SECURITIES, INC.

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST WESTERN SECURITIES, INC.

TRUST BUT VERIFY

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