Current Openings

Independent Registered Representatives (IRR) and Investment Advisor Representatives (IAR)

Job Summary

Company: Regal Securities, Inc.
Location: Wisconsin (WI)
Compensation: Commission
Job Type: Full-Time

Job Description

Regal Securities is currently seeking well qualified commission based independent registered representatives (IRR) and investment advisor representatives (IAR) located in Wisconsin.

Requirements:

Series 7, 65 or 66
Minimum of three years industry experience
Proven knowledge of the financial industry
Existing book of clients
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Independent Registered Representatives and Investment Advisor Representatives benefit from a comprehensive range of investment options, technology, and resources for conducting full-service brokerage operations. We provide the necessary tools to build and expand your business along with pricing advantages and flexibility.

Regal Securities has been in business for over 30 years with offices throughout the country, and can offer:

High payouts, low ticket charges and no hidden fees
A dedicated conversion team and legal resources to guide you through a smooth transition
A strong compliance record with exceptionally clean regulatory history
An in-house customer service, compliance, syndicate, systems and marketing departments
Independence and flexibility; choose one of existing offices, start a new one, or work from home
We offer a large product line—stocks, options, fixed income, structured products, insurance products, TPA (third party administrator), oil and gas, REITS, direct participation products, and syndicate offerings
Advanced technology platforms
Direct access to senior management
Annual independent representative conference to assist you in building your business, introduce new products and network with colleagues
Entrepreneurial environment, where management is committed to helping you grow your business
Earn even more through Regal’s Referral Program for each IRR or IAR you introduce to Regal
E&O insurance coverage

Who is Regal Securities?

Regal has been in business for over 30 years
Founder is one of original members of Chicago Board Options Exchange and has over 40 years experience in the securities industry
Offices located throughout the country (see Branch Offices for complete listing)
Regal prides itself on its ethics, strong compliance program and risk management - no exposure to CDOs, suprime debt or credit default swaps
Each client account is SIPC insured with additional SIPC coverage through our clearing firm
Regal is a member of FINRA, SIPC, NQX, SEC and ARCA
Candidates interested in applying to these job opportunities should e-mail jkupstas@regalsecurities.com

All securities and services are offered through Regal Securities, Inc., Member FINRA / SIPC, a registered broker dealer. Securities products offered are not guaranteed or endorsed by Regal, are not FDIC insured and may lose value. None of the information contained herein should be construed as an offer to buy or sell securities or as a recommendation. Specific recommendations are based on a review of each client’s particular financial circumstances. Online trading has inherent risks due to loss of online services or delays from system performance, risk parameters, market conditions, and erroneous or unavailable market data.