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James Allen Fischer

Investment Adviser Representative at REGAL INVESTMENT ADVISORS LLC

Pewaukee, WICRD #1594785Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
39 yrs
States Registered
5 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

James Allen Fischer has worked in the securities industry since 1987. They are registered to provide investment advisory services in Arkansas, Illinois, North Carolina, Washington, and Wisconsin.

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
ArkansasIllinoisNorth CarolinaWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/29/2002
Series 63
Uniform Securities Agent State Law Examination
Passed 6/3/1987
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/21/2001
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 12/10/1986
Series 24
General Securities Principal Examination
Passed 5/29/2002
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 3/24/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Regal Investment Advisors LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

REGAL INVESTMENT ADVISORS LLCCurrent
7/25/2014Pewaukee, WI
MML INVESTORS SERVICES, LLC
4/17/20097/17/2014New Berlin, WI
THRIVENT INVESTMENT MANAGEMENT INC.
11/23/20014/8/2009Waukesha, WI

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Allen Fischer has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James Allen Fischer - Financial Advisor in Pewaukee, WI | AdvisorFinder