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Detailed Report
REGINA J BURKS
REGINA JUSTINE ROSENTHAL, REGINA ROSENTHAL
CRD#: 5262891
IA
Investment Adviser
B
Broker
MISSIONSQUARE RETIREMENTCRD#: 108783 Littleton, CO
MISSIONSQUARE INVESTMENT SERVICESCRD#: 23189 Littleton, CO
Registration History
20082010201220142016201820202022202420262 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - Present (1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2009 - 2018 (9 years)BA I M DISTRIBUTORS, INC. (CRD# 7369)2007 - 2007 (<1 year)IAROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2018 - 2018 (<1 year)
License(s)

State Registrations

B
Colorado 3/11/2024
B
District of Columbia 4/2/2024
IA
Colorado 3/11/2024
IA
District of Columbia 5/21/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
MISSIONSQUARE INVESTMENT SERVICES (CRD#:23189)
Littleton, CO
Registered with this firm since 3/11/2024
IA
MISSIONSQUARE RETIREMENT (CRD#:108783)
Littleton, CO
Registered with this firm since 3/11/2024
Previous Registration(s)
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IA
 08/27/2018 - 02/13/2024 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) Lakewood, CO
B
 08/27/2018 - 02/13/2024 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) Lakewood, CO
IA
 08/09/2018 - 08/30/2018 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) LAKEWOOD, CO
B
 08/04/2009 - 08/30/2018 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) LAKEWOOD, CO
B
 04/19/2007 - 09/06/2007 A I M DISTRIBUTORS, INC. (CRD#:7369) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.