REGAL WEALTH MANAGEMENT, LLC
CRD #305480 SEC #801-117357 NEW YORK, NY (212) 370-6060
SEC Registered
Total AUM
$91M
Discretionary
$91M
Employees
4
Clients
0
Accounts
95
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 26, 2020
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / INVESTMENT ADVISOR REPRESENTATIVE | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / INVESTMENT ADVISOR REPRESENTATIVE | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / INVESTMENT ADVISOR REPRESENTATIVE | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / INVESTMENT ADVISOR REPRESENTATIVE | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / INVESTMENT ADVISOR REPRESENTATIVE | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | NA | Control |
| BELL, JASON, ANDREW | I | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KLARBERG, BARRY, JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | DE | MANAGING MEMBER | E | Control |
| MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | DE | MANAGING MEMBER | E | Control |
| MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | DE | MANAGING MEMBER | E | Control |
| MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | DE | MANAGING MEMBER | E | Control |
| MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
| REGAL WEALTH HOLDINGS, LLC | DE | MANAGING MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | REGAL WEALTH HOLDINGS, LLC | F | Control |
| KLARBERG, BARRY, JOSEPH | I | MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | D | Control |
| KLARBERG, BARRY, JOSEPH | I | MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | D | Control |
| KLARBERG, BARRY, JOSEPH | I | MONARCH BUSINESS AND WEALTH MANAGEMENT HOLDINGS LLC | D | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
| GMM CAPITAL, LLC | DE | REGAL WEALTH HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
Jun 26, 2020 REGISTERED
Notice Filings (3)
FL NY TX
Address
209 EAST 31ST STREETNEW YORK, NY 10016
United States
Phone: (212) 370-6060