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Investment Adviser Firm Summary

REGAL INVESTMENT ADVISORS LLC (CRD# 125004 / SEC# 801-71923)
Alternate Names: REGAL FAMILY OFFICE , REGAL FINANCIAL ADVISORS , REGAL FINANCIAL GROUP , REGAL FINANCIAL GROUP LLC , REGAL INVESTMENT ADVISORS LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/19/2010
Alaska Terminated 10/21/2010
Florida Terminated 10/21/2010
Indiana Terminated 10/21/2010
Michigan Terminated 11/01/2010
Minnesota Terminated 10/22/2010
Nebraska Terminated 10/21/2010
North Carolina Terminated 10/21/2010
Ohio Terminated 10/21/2010
Pennsylvania Terminated 10/22/2010
South Carolina Terminated 10/21/2010
South Dakota Terminated 10/21/2010
Wisconsin Terminated 10/21/2010

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
Alabama 01/05/2011
Alaska 10/19/2010
Arizona 01/05/2011
Arkansas 11/19/2013
California 01/05/2011
Colorado 03/18/2011
Connecticut 02/27/2013
Delaware 02/15/2018
District of Columbia 11/19/2013
Florida 10/14/2010
Georgia 10/19/2010
Hawaii 03/23/2016
Illinois 10/19/2010
Indiana 10/19/2010
Iowa 06/01/2012
Kansas 10/19/2010
Kentucky 11/19/2013
Louisiana 11/19/2013
Maryland 10/19/2010
Massachusetts 08/28/2017
Michigan 10/19/2010
Minnesota 10/19/2010
Mississippi 09/03/2015
Missouri 06/01/2012
Montana 09/01/2017
Nebraska 10/19/2010
Nevada 10/19/2010
New Jersey 05/06/2016
New York 11/26/2013
North Carolina 10/19/2010
North Dakota 04/25/2017
Ohio 10/19/2010
Oklahoma 11/19/2013
Oregon 05/02/2012
Pennsylvania 10/19/2010
South Carolina 10/19/2010
South Dakota 10/19/2010
Tennessee 10/19/2010
Texas 01/05/2011
Utah 01/19/2011
Vermont 03/26/2014
Virginia 10/19/2010
Washington 01/05/2011
West Virginia 01/05/2011
Wisconsin 10/19/2010
Wyoming 05/15/2018

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