Resources & Support
Transition Team
Easing the Transition Process
Regal's transition team is a group of key professionals representing each phase of the transfer process to ensure a smooth, personalized transition. The team is your single point of contact for any questions you may have relating to anything from technical and compliance support to marketing and the account transfer process.
The team will assist you with planning and preparation including submitting registrations. They will also manage the transfer of accounts and compile all necessary paperwork to facilitate the move of client assets. Regal’s team will follow through from start to finish allowing you to concentrate on your clients.
At Regal, we focus on the details surrounding the structure of your business to assist you in establishing a competitive and independent practice.
Relationship Management
Focused on the Needs of Your Business
Once your transition to Regal is complete, our skilled Relationship Team will be your primary contact for all day-to-day operational needs. Our relationship managers will ensure that you have an experience met with personalized service tailored to your individual business needs.
Compliance Support
For Registered Representatives & Investment Advisor Representatives
Regal handles all licensing and compliance requirements including monitoring securities license renewal, continuing education requirements, and state registrations. Our compliance team also schedules testing and continuing education to meet all FINRA requirements.
Compliance support for Investment Advisor Representatives provided by Regal Advisory Services, Inc.
Infrastructure and Back Office
A strong business infrastructure is essential to your success. Regal provides all of our representatives with superior customer service and access to highly qualified and experienced stock and options professionals. Our comprehensive array of back office services includes access to technology, trading, a full-service fixed income department, and marketing and compliance support as well as other business development services. Our numerous branch office locations ensure that business continues to run uninterrupted during outages or emergencies.
Reporting
Regal provides accurate trade processing and reporting. Branded statements and confirmations can be accessed electronically or sent via U.S. Mail. Duplicate statements are available upon request. Year-end tax information includes consolidated 1099 forms.