Investor Disclosure
REGULUS FINANCIAL GROUP, LLC DISCLOSURES
Client Relationship Summary
Regulus Financial Group, LLC is a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Broker-dealer and investment advisory services and fees differ, and it is important for you to understand these differences.
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Important Disclosures
Please visit the Regulus site to view further disclosures to inform you of the services we offer, our relationships, and potential conflicts of interest.
View Regulus Revenue, Fees, and Conflicts of Interest
Regulus Financial Group, LLC member FINRA/SIPC. Check out the background of Regulus Financial Group, LLC on FINRA’s BrokerCheck.
REGAL INVESTMENT ADVISORS, LLC DISCLOSURES
Client Relationship Summary
Regal Investment Advisors, LLC is an investment adviser registered with the Securities and Exchange Commission (SEC). Registration with the SEC does not imply any level of skill or training. Investment advisory services and fees differ from brokerage services provided through a broker-dealer and it is important for you to understand these differences.
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Form ADV Brochure
This brochure provides information about the qualifications and business practices of our firm.
View Wrap Fee Program Brochure
LIONSHARE INFORMATION
LionShare is a “DBA’ (Doing Business As) for Regal Investment Advisors, LLC a SEC Registered Investment Advisor. Registration with the SEC does not imply any level of skill or training. LionShare is affiliated with Regal Investment Advisors, LLC, a subsidiary of Regal Holdings of America, LLC.
This DBA is used by the Portfolio Management team within Regal Investment Advisors, LLC.
For more information, please visit the LionShare website.
REGAL FINANCIAL GROUP INFORMATION
Regal Financial Group is a “DBA’ (Doing Business As) offering securities through Regulus Financial Group, LLC, member FINRA/SIPC and advisory services through Regal Investment Advisors, LLC. Regal Financial Group, Regulus Financial Group, LLC, and Regal Investment Advisors are all affiliated entities, and are subsidiaries of Regal Holdings of America, Inc.
This DBA is used by representatives registered with Regulus Financial Group, LLC and/or Regal Investment Advisors, LLC to market and conduct business.
For more information, please visit the Regal Financial Group website.
REGAL HOLDINGS OF AMERICA, LLC COMPANY INFORMATION
Regal Holdings of America, LLC is the parent company of Regal Financial Group, Regulus Financial Group, LLC, Regal Charitable, and Regal Investment Advisors, LLC.
Regal Holdings of America, LLC, Regal Financial Group, Regulus Financial Group, Regal Investment Advisors, Regal Charitable and LionShare are affiliated entities.
Privacy Policy
Regal Holdings of America, LLC and its affiliate’s view protecting private information regarding its clients and potential clients as a top priority. Pursuant to the requirements of the Gramm-Leach-Bliley Act (the "GLBA") and guidelines established by the Securities Exchange Commission regarding the Privacy of Consumer Financial Information (Regulation S-P), the Company has instituted the following policies and procedures in an effort to ensure that such non-public private information is kept private and secure. This policy also outlines how Regal Holdings and its Associated Persons are allowed to use the confidential personal information collected in connection with its advisory activities.
