Thomas Anthony Ditta
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.
Thomas Anthony Ditta is an investment adviser representative with Regal Investment Advisors LLC in Monroe, LA, where they have been registered since 2026. They have worked in the securities industry since 2007 and have been registered with 5 firms, including Valic Financial Advisors, Inc. and Prudential Financial Planning Services. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Louisiana and Texas.
Registrations & licenses
- Investment adviser:
- Louisiana, Texas
- Broker:
15 states and territories
Arkansas, California, Florida, Illinois, Kansas, Louisiana, Michigan, Mississippi, New Jersey, North Carolina, Ohio, Tennessee, Texas, Utah, Wisconsin
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.
- Regions BankApr 2013 – Apr 2022Monroe, LA
- Cetera Investment ServicesApr 2013 – Apr 2022St. Cloud, MN
- Cetera Investment Advisers LlcJan 2014 – Apr 2022Monroe, LA
- The Prudential Insurance Company Of AmericaMay 2022 – Aug 2023Monroe, LA
- Pruco Securities Llc.May 2022 – Aug 2023Monroe, LA
- Ashton Smith ShelterAug 2023 – Nov 2023Monroe, LA
- VALIC Financial Advisors, IncNov 2023 – Feb 2026Houston, TX
- AGIADec 2023 – Feb 2026Houston, TX
- Regulus Financial GroupFeb 2026 – no end date reportedKentwood, MI
- Regal Investment AdvisorsFeb 2026 – no end date reportedKenwood, MI
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. Thomas Anthony Ditta 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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