Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellis? Claim Your ProfileEllis Regini has been an active financial advisor in the industry since 1989. Currently, Ellis Regini is a licensed financial advisor at Regulus Financial Group, LLC in Navasota, Texas. Before joining Regulus Financial Group, Ellis Regini has had several other roles in the financial industry. Ellis Regini is registered with Georgia and Texas, and holds several licenses including Series 7, 6, 63, 65, and 24. Ellis Regini has experience working with individuals, high-net-worth individuals, corporations, and other businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Third party fees
1
2
TX
01/05/2024 - Present
Regulus Financial Group, LLC (Navasota TX)
TX
11/30/2007 - 12/31/2021
NEXT FINANCIAL GROUP, INC. (LAKE JACKSON TX)
TX
01/02/2001 - 11/30/2007
THE INVESTMENT CENTER, INC. (LAKE JACKSON TX)
CA
01/04/2000 - 12/31/2000
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
SC
12/10/1999 - 12/31/1999
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
AZ
06/12/1995 - 12/13/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
GA
09/22/1992 - 06/07/1995
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
SD
10/27/1989 - 08/04/1992
NORTH AMERICAN MANAGEMENT, INC. (SIOUX FALLS SD)
NA
04/21/1988 - 10/06/1989
FIRST AMERICAN NATIONAL SECURITIES, INC.
GA
01/02/1987 - 10/06/1989
FIRST AMERICAN NATIONAL SECURITIES, INC. (DULUTH GA)
IA
Issued 09/05/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2024
Series 24 - General Securities Principal Examination
BC
Issued 01/05/2024
Series 7TO - General Securities Representative Examination
BC
Issued 01/05/2024
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1996
Series 7 - General Securities Representative Examination
BC
Issued 12/31/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Ellis Regini is the right advisor for you? Invested Better is here to help.
