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Thomas Vincent Scotto

Regulus Financial Group, LLC

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About Thomas Vincent Scotto

Thomas Scotto is a Registered Representative and Investment Advisor Representative with Regulus Financial Group, LLC and Regal Investment Advisors, LLC. Thomas has been in the financial industry since 2014 and is licensed to provide financial and insurance services in multiple states. Thomas has expertise in financial planning, portfolio management for individuals and businesses, and pension consulting. Thomas also conducts educational seminars for clients.

Firm Information

Thomas Scotto is currently registered with Regulus Financial Group, LLC. Regal Investment Advisors LLC is an investment advisor with offices in KENTWOOD, MI. The firm manages $2,550,489,630 in regulatory assets under management. They provide financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. The firm has 94 licensed agents, 117 investment advisor representatives, 77 registered representatives, and 117 investment advisory functions. They work with individuals, high-net-worth individuals, corporations or other businesses, pension and profit-sharing plans, charitable organizations, and individuals other than high-net-worth. They also participate in wrap fee programs.
Regulus Financial Group, LLC

2687 44TH STREET SE

KENTWOOD, MI 49512

$2.55B

Assets Under Management

73

Total Clients

118

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Third party fees

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Thomas Scotto’s Registration & Firm History

NJ

03/01/2024 - Present

Regulus Financial Group, LLC (Old Bridge NJ)

NY

02/05/2020 - 01/05/2024

MML INVESTORS SERVICES, LLC (STATEN ISLAND NY)

NY

06/09/2016 - 11/01/2018

J.P. MORGAN SECURITIES LLC (STATEN ISLAND NY)

NY

08/08/2014 - 05/05/2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (STATEN ISLAND NY)

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Licenses & Designations

BOTH

Issued 07/08/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/03/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas Vincent Scotto. Review regulatory record here.
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