Resources & Support
Focused on the Needs of Your Business
Transition Team
Regal’s Transition Team specializes in bringing together key professionals from each functional area to ensure smooth transfers and superior service. The team is your single point of contact for any questions you may have ranging from technical and compliance support to marketing and the account transfer process during your conversion.
Our staff of professionals is committed to ensuring a smooth and efficient transition. Regal will manage the transfer of accounts and compile all necessary paperwork to facilitate the transfer of client assets following through from start to finish.
Compliance Support
For Registered Representatives & Investment Advisor Representatives
- Regal handles all licensing and compliance requirements
- Customized continuing education to meet your firm element and FINRA regulatory requirements
- Monitor securities license continuing education
- Schedule testing
- Handle state registrations and annual renewal process
Compliance support for Investment Advisor Representatives provided by Regal Advisory Services, Inc.
Infrastructure
- Superior customer service with extensive industry experience
- Marketing assistance and product development
- Comprehensive back office support including technology, centralized trading and administration
- A highly qualified stock and options trading desk
Reporting
- Accurate trade processing and reporting
- Branded statements and confirmations transmitted electronically or via U.S. Mail
- Duplicate statements at no charge
- Year-end tax information, including consolidated 1099's
Business Development Services
Once your business has been transferred, our skilled relationship team will be your primary contact for all day-to-day operational and service needs. We ensure that you have an experience met with customized personal service allowing a more individualized approach