Why Regal Securities?
The Regal Difference
Our employees make the difference, with personalized service tailored to your individual business needs. Whether you are going independent for the first time or have been an independent representative for years, we collaborate with you to maximize your business.
Regal has been an established broker-dealer for over 30 years with offices throughout the country, and offers:
- A broad spectrum of business models: traditional brokerage, fee-based advisory, and hybrid
- Independence and flexibility; choose one of our existing offices, start a new one, or work from home
- In-house Customer Service, Compliance, Technology, and Marketing departments
- Access to senior management
- A combination of competitive ticket charges, payouts, and great service
- A dedicated Conversion Team to guide you through a smooth transition
- An exceptional compliance record for over 30 years
- Strong financials, no debt, and a large amount of excess net capital
- Assistance in recruiting high performance registered representatives and branch development
- Practice Management Program
- Marketing support
- Access to world-class research
- Best-in-class broker desktop technology
- Solutions for high frequency traders
- Comprehensive fee-based platforms including access to nearly one hundred third party money managers.
I've been a broker since 1966, an independent since 1983 and associated with Regal, in July of 2007. I've been through all the wars one might face in my occupation; economic, industry, and individual. When you are at the front lines, in a one man office, it's very comforting to interact with people who exhibit professionalism, knowledge and friendliness. This I have with Regal."
— Bill from Thousand Oaks, CA - Joined 2007