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Independence, Flexibility and Commitment to Service

In the race to sameness, the financial services industry is attempting to fit advisors and their clients into an increasingly limited set of solutions.  Conversely, Regal does not subscribe to a one size fits all approach as each advisor’s business, and their client’s financial needs and circumstances, are unique and deserve the appropriate attention. 

Further, many of our competitors have chosen call centers over once personalized relationship management whereas we believe that technology should benefit the client, the advisor, and the firm.

For our advisors, Regal provides an Open Solutions Partnership to empower them to serve their clients without quotas, mandates, or grid compression. We proudly support advisory, brokerage and hybrid business models to help advisors serve clients’ best interest and we offer affiliation for Independent Advisors, Employee Advisors, and full Enterprise Solutions. 

We work with our advisors based on four standards of operational excellence: 

  • Begin from a position of trust and partnership 
  • Align the firm’s resources to the advisor’s business needs 
  • Deliver a highly personalized white glove customer experience to the advisor 
  • Commitment to continuous improvement

Regal's corporate headquarters are in Glenview, Illinois with additional corporate offices in Orlando, Florida and Fort Myers, Florida. Our advisors are located throughout the country serving clients and their families.

Advisor Affiliation Options

Advisor Employee (W-2)

  • Full employee benefits eligibility including medical insurance and retirement savings plan
  • Progressive payout solution delivering substantially greater income compared to traditional W-2 financial advisors payout grids
  • Dedicated Relationship Manager to support operational, administrative and client service needs
  • No platform fees, transaction fees or administration fees
  • Trusted Advisor: coaching, mentoring and practice management programs
  • Full technology stack included: CRM, proposal tool, financial planning, risk analysis, aggregation. Technology hardware provided
  • Capabilities include brokerage, advisory, trust, banking, lending, syndicate desk, fixed-income desk, insurance desk and alternatives
  • Automated, digital and traditional marketing solutions
  • World-class client experience and connectivity

Independent Advisor (1099)

  • Progressive payout solution delivering substantially greater income compared to traditional 1099 financial advisor payout grids
  • Dedicated Relationship Manager to support operational and administrative needs
  • Capabilities include brokerage, advisory, trust, banking, lending, syndicate desk, fixed-income desk, insurance desk and alternatives
  • Transparent, fair and easy to understand platform pricing, volume discounted vendor costs
  • Trusted Advisor: coaching, mentoring and practice management programs
  • Full technology stack: CRM, proposal tool, financial planning, risk analysis, aggregation with discounted pricing
  • Automated, digital and traditional marketing solutions
  • World-class client experience and connectivity

Dedicated Support & Operations Team

Relationship Managers

As a Regal Wealth Advisor, you are paired with a Relationship Manager, your dedicated support team specialist. Our Relationship Managers are tenured and often licensed financial service professionals who act as your partner for all operations and administration needs. Your Relationship Manager works closely with you and your clients to facilitate efficient and reliable account maintenance needs so that you can spend your time focused on what you enjoy most, working with clients and delivering advice and exceptional outcomes.


Information Technology & Systems

Our IT teams understand the importance of operating in a safe and secure digital environment. They have gone to great lengths to ensure that our systems are robust and compliant and that our team members are properly trained to meet the demands of an ever-changing digital landscape. They have created an integrated platform of tools and technologies that allow our Wealth Advisors to work in a highly efficient and secure manner from any location, providing full and uninterrupted access to all wealth and communications tools necessary to run and grow a successful wealth practice.

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