SB
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
Knoxville, TN
Get directionsRegulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2010Denied
Other Business Activities
Scott prepares tax returns through S & S Financial Services, spending a few hours per week. He is also a partner in TMB Family Partnership, a commercial real estate leasing business, spending minimal time on tax return preparation.
Employment History
Current Registrations
Regal Advisory Services, INC.
August 2012 - Present · 13 yrs 5 mos
Regal Securities, INC.Broker
August 2012 - Present · 13 yrs 5 mos
Previous Registrations
Brokersxpress LLC
May 2008 - August 2012 · 4 yrs 3 mos
Brokersxpress LLCBroker
May 2008 - August 2012 · 4 yrs 3 mos
Ssn Advisory, INC.
April 2008 - May 2008 · 1 mo
Securities Service Network, INC.Broker
April 2008 - May 2008 · 1 mo
1st Discount Brokerage, INC.
December 2007 - April 2008 · 4 mos
1st Discount Brokerage, INC. Broker
August 2002 - April 2008 · 5 yrs 8 mos
Acument Securities, INC.Broker
December 1997 - August 2002 · 4 yrs 8 mos
Quest Capital Strategies, INC.Broker
January 1995 - December 1997 · 2 yrs 11 mos
Equico Securities, INC. Broker
July 1992 - December 1994 · 2 yrs 5 mos
The Equitable Life Assurance Society of the United StatesBroker
July 1992 - December 1994 · 2 yrs 5 mos
State Registrations9 states
ALCOFLGAILKYSCTNTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.