Russell L Thompson
Investment Adviser Representative at Regal Investment Advisors LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Russell L. Thompson is an investment adviser representative with Regal Investment Advisors LLC in Daytona Beach, FL, where they have been registered since 2023. They have worked in the securities industry since 2017 and have been registered with 3 firms, including Pruco Securities, LLC. and W&s Brokerage Services, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Florida.
Registrations & licenses
- Investment adviser:
- Florida
- Broker:
3 states and territories
California, Florida, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- W&s Brokerage ServicesFeb 2016 – May 2018Cincinnati, OH
- Western Southern LIFEJun 2015 – May 2018Maitland, FL
- The Prudential Insurance Company of AmericaMay 2018 – Jul 2022Port Orange, FL
- Pruco Securities, LLCMay 2018 – Mar 2022Port Orange, FL
- Regulus Financial Group, LLCAug 2022 – Aug 2026Kentwood, MI
- Regal Investment AdvisorsApr 2023 – Aug 2026Kentwood, MI
- FMSAAug 2026 – no end date reportedDaytona Beach, FL
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Regal Investment Advisors LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- Firm account minimum
- $10,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Distribution platform services including analysis on risk, performance, and fee structures; creation of compliant marketing materials such as pitch books and financial presentations; investment performance statistics analysis; advisor relations management; and sub-advisory relationships through an independent national network.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 122
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Kentwood, MI
- SEC file number:
- 801-71923
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 18, 2026
View full firm profileOther advisors at Regal Investment Advisors LLC
Showing 12 of 122 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Russell L Thompson 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.
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