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James Richard Reim

Investment Adviser Representative at REGAL INVESTMENT ADVISORS LLC

Erie, PACRD #1303142Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
13 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 13 states
ArizonaCaliforniaFloridaGeorgiaKentuckyMarylandNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTexasWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/26/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 10/5/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 10/5/1984
Series 7
General Securities Representative Examination
Passed 9/15/1984
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 11/19/2009
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 6/25/1999

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
4/17/2018Erie, PA
IC ADVISORY SERVICES, INC.
5/11/20094/17/2018Millcreek Township, PA
MORGAN STANLEY & CO. INCORPORATED
4/2/20074/14/2009Erie, PA
MORGAN STANLEY
11/10/20054/2/2007Erie, PA

Official records & sources

Data as of August 10, 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 Richard Reim 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 Richard Reim - Financial Advisor in Erie, PA | AdvisorFinder