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Investment Adviser Firm Summary

REGAL ADVISORY SERVICES, INC. (CRD# 123842 / SEC# 801-71619)
Alternate Names: REGAL ADVISORY SERVICES, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/12/2010
Arizona Terminated 08/14/2012
Arkansas Terminated 08/14/2012
Colorado Terminated 08/02/2010
Connecticut Terminated 07/13/2010
Delaware Terminated 07/13/2010
Florida Terminated 08/14/2012
Georgia Terminated 09/24/2010
Hawaii Terminated 12/31/2010
Idaho Terminated 07/14/2010
Illinois Terminated 08/14/2012
Indiana Terminated 07/13/2010
Iowa Terminated 07/13/2010
Kansas Terminated 08/14/2012
Kentucky Terminated 07/13/2010
Louisiana Terminated 07/21/2010
Massachusetts Terminated 08/03/2010
Minnesota Terminated 07/14/2010
Mississippi Terminated 08/14/2012
Missouri Terminated 07/13/2010
Nebraska Terminated 07/14/2010
Nevada Terminated 09/20/2012
New Hampshire Terminated 07/13/2010
New Jersey Terminated 09/21/2012
New Mexico Terminated 07/13/2010
North Carolina Terminated 07/13/2010
Ohio Terminated 07/13/2010
Oklahoma Terminated 08/14/2012
Oregon Terminated 07/15/2010
Pennsylvania Terminated 07/14/2010
South Carolina Terminated 07/13/2010
Tennessee Terminated 08/12/2010
Texas Terminated 08/14/2012
Utah Terminated 08/12/2010
Vermont Terminated 08/14/2012
Virginia Terminated 07/13/2010
Washington Terminated 07/16/2010
Wisconsin Terminated 07/13/2010

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 08/14/2012
Arkansas 08/14/2012
California 08/14/2012
Colorado 11/30/2012
Florida 08/14/2012
Illinois 08/14/2012
Louisiana 08/22/2014
Maine 11/28/2017
Massachusetts 09/24/2012
Michigan 09/28/2012
New Jersey 09/21/2012
New York 08/14/2012
Ohio 08/14/2012
Oklahoma 08/14/2012
Tennessee 08/14/2012
Texas 08/14/2012
Vermont 08/14/2012
Wisconsin 10/29/2013

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser