MH
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
23 advisors
Number of Clients
285 clients
Average Client Portfolio
$398K average
Assets Under Management
$113.5M
Fee Structure
Regal charges fees based on a percentage of assets under management, with a maximum annual fee of 2.0%, which is negotiable. Fees are billed quarterly in advance, but may be billed in arrears for certain custodian programs. The firm may modify fees with 30 days' written notice. Clients authorize fee deduction from their accounts. Regal has an economic incentive to recommend its RDIM/RNIM/Free Form Advisor programs versus the various RBC and HTS wrap fee programs.
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & Coaching
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Advisor Information
Office location
4300 Ford Street Extension, Fort Myers, FL, 33916
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Regal Advisory Services, INC.
October 2023 - Present · 2 yrs 3 mos
Regal Securities, INC.Broker
October 2023 - Present · 2 yrs 3 mos
Previous Registrations
Level Four Advisory Services
December 2021 - October 2023 · 1 yr 10 mos
Level Four Financial, LLC
January 2013 - December 2021 · 8 yrs 11 mos
Level Four Financial, LLCBroker
January 2013 - October 2023 · 10 yrs 9 mos
Raymond James Financial Services Advisors, INC
January 2009 - January 2013 · 4 yrs
Raymond James Financial Services
December 2003 - May 2009 · 5 yrs 5 mos
Raymond James Financial Services
August 2002 - November 2003 · 1 yr 3 mos
Raymond James Financial Services, INC.Broker
August 2002 - January 2013 · 10 yrs 5 mos
Mcdonald Investments INC.
June 2002 - August 2002 · 2 mos
Mcdonald Investments INC.Broker
February 2001 - August 2002 · 1 yr 6 mos
First Union Securities, INC. Broker
April 1994 - March 2001 · 6 yrs 11 mos
Oppenheimer & Co., INC.Broker
September 1991 - April 1994 · 2 yrs 7 mos
Lehman Brothers INC.Broker
February 1990 - October 1991 · 1 yr 8 mos
Oppenheimer & Co., INC.Broker
September 1988 - March 1990 · 1 yr 6 mos
Blinder, Robinson & Co., INC.Broker
July 1988 - August 1988 · 1 mo
State Registrations17 states
AZCAFLGAILINMDMONMNYOHPATXVTWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.