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JL
JL

Jeffry Scott Livingston

Regal Advisory Services, INC.
28 Years of Experience
4 DisclosuresBroker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & Coaching
Regal Advisory Services, INC.
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
23 advisors
Number of Clients
285 clients
Average Client Portfolio
$398K average
Assets Under Management
$113.5M

Fee Structure

Location

Chicago, IL

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2012
Settled
Customer Dispute
June 2006
Settled
Customer Dispute
April 2000
Denied
Customer Dispute
September 1998
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Regal Advisory Services, INC.
April 2014 - Present · 11 yrs 10 mos
Regal Securities, INC.
August 2012 - Present · 13 yrs 6 mos
Regal Securities, INC.Broker
August 2012 - Present · 13 yrs 6 mos
Previous Registrations
Brokersxpress LLC
August 2011 - August 2012 · 1 yr
Brokersxpress LLCBroker
August 2011 - August 2012 · 1 yr
Wells Fargo Advisors, LLCBroker
January 2008 - August 2011 · 3 yrs 7 mos
Wells Fargo Advisors, LLC
January 2008 - August 2011 · 3 yrs 7 mos
A. G. Edwards & Sons, INC.
November 2001 - January 2008 · 6 yrs 2 mos
A. G. Edwards & Sons, INC.Broker
August 2001 - January 2008 · 6 yrs 5 mos
First Union Securities, INC.Broker
July 1997 - September 2001 · 4 yrs 2 mos
Gruntal & CO., L.L.C.Broker
February 1997 - June 1997 · 4 mos
State Registrations13 states
AZCACOFLIAILMAMIMONCSCVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Jeffry Scott Livingston - Financial Advisor | TrueAdvisor