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FIRM PROFILE
Overview
REGIONS SECURITIES LLC is located at 1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309 and was first established at Atlanta, Delaware in 10/12/2011. After operating for 14 years, REGIONS SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of REGIONS SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. REGIONS SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at REGIONS SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access REGIONS SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at REGIONS SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for REGIONS SECURITIES LLC Comes From
Understanding the Statistics for REGIONS SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Medium
(404) 279-7400
Delaware since 10/12/2011
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | ||
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 | |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 | |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 | |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 | |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
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Advisor's working at REGIONS SECURITIES LLC
Randy Mcaulay Lambeth
J Brit Stephens
Joel J Kallett
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