REGAL ADVISORY SERVICES, INC.
CRD #119445 SEC #801-61358 WOODLAND HILLS, CA 818-610-0079
SEC Registered
Total AUM
$48.2M
Discretionary
$36.4M
Employees
6
Clients
1
Accounts
225
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 23, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| GRIFFIN, JASON, THOMAS | I | CCO/IAR | NA | Control |
| GRIFFIN, JASON, THOMAS | I | CHIEF COMPLIANCE OFFICER/IAR | NA | Control |
| GRIFFIN, JASON, THOMAS | I | CHIEF COMPLIANCE OFFICER/IAR | NA | Control |
| GRIFFIN, JASON, THOMAS | I | CHIEF COMPLIANCE OFFICER/IAR | NA | Control |
| GRIFFIN, JASON, THOMAS | I | CHIEF COMPLIANCE OFFICER/IAR | NA | Control |
| GRIFFIN, JASON, THOMAS | I | CHIEF COMPLIANCE OFFICER/IAR | NA | Control |
| GRIFFIN, JASON, THOMAS | I | CHIEF COMPLIANCE OFFICER/IAR | NA | Control |
| LYONS, LISA, MARIE | I | PRINCIPAL/IAR | E | Control |
| LYONS, LISA, MARIE | I | PRINCIPAL/IAR | E | Control |
| LYONS, LISA, MARIE | I | PRINCIPAL/IAR | E | Control |
| LYONS, LISA, MARIE | I | PRINCIPAL/IAR | E | Control |
| LYONS, LISA, MARIE | I | PRINCIPAL/IAR | E | Control |
| LYONS, LISA, MARIE | I | PRINCIPAL/IAR | E | Control |
| LYONS, LISA, MARIE | I | PRINCIPAL/IAR | E | Control |
| BEELER, WILLIAM, MALCOLM | I | PRESIDENT | C | Control |
| BEELER, WILLIAM, MALCOLM | I | PRESIDENT; CHIEF COMPLIANCE OFFICER | C | Control |
| BEELER, WILLIAM, MALCOLM | I | PRESIDENT; CHIEF COMPLIANCE OFFICER | C | Control |
| BEELER, WILLIAM, MALCOLM | I | PRESIDENT; CHIEF COMPLIANCE OFFICER | C | Control |
| BEELER, WILLIAM, MALCOLM | I | PRESIDENT; CHIEF COMPLIANCE OFFICER | C | Control |
| BEELER, WILLIAM, MALCOLM | I | PRESIDENT | C | Control |
| BEELER, WILLIAM, MALCOLM | I | PRESIDENT | C | Control |
| KLEIN, GARY, PETER | I | VICE PRESIDENT | C | Control |
| KLEIN, GARY, PETER | I | VICE PRESIDENT | C | Control |
| KLEIN, GARY, PETER | I | VICE PRESIDENT | C | Control |
| KLEIN, GARY, PETER | I | VICE PRESIDENT | C | Control |
| KLEIN, GARY, PETER | I | VICE PRESIDENT | C | Control |
| KLEIN, GARY, PETER | I | VICE PRESIDENT | C | Control |
| KLEIN, GARY, PETER | I | VICE PRESIDENT | C | Control |
| LYONS, LISA, MARIE | I | SHAREHOLDER | C | Control |
| LYONS, LISA, MARIE | I | SHAREHOLDER | C | Control |
| LYONS, LISA, MARIE | I | SHAREHOLDER | C | Control |
| LYONS, LISA, MARIE | I | SHAREHOLDER | C | Control |
| LYONS, LISA, MARIE | I | SHAREHOLDER | C | Control |
| LYONS, LISA, MARIE | I | SHAREHOLDER | C | Control |
| LYONS, LISA, MARIE | I | SHAREHOLDER | C | Control |
Registrations
Federal
IA
Apr 23, 2012 REGISTERED
Notice Filings (7)
AZ CA FL LA NV TX WA
Address
21800 BURBANK BLVDSUITE 325
WOODLAND HILLS, CA 91367
United States
Phone: 818-610-0079