Unclaimed Profile

James Carroll Tassoni

REGAL INVESTMENT ADVISORS LLC·KENTWOOD, Michigan

SIE, Series 3, Series 7, Series 31, Series 65, Series 66CFP20 years registeredREGAL INVESTMENT ADVISORS LLC

2687 44TH STREET SE, KENTWOOD, MI 49512CRD# 4883854Firm CRD# 125004

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Carroll Tassoni · KENTWOOD, MI

Registration

CRD #4883854 · REGAL INVESTMENT ADVISORS LLC · 20 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: REGAL INVESTMENT ADVISORS LLC

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MDRN CAPITAL

Mar 2024 – Aug 2024

Alto, MI

NORTH STAR INVESTMENT MANAGEMENT CORPORATION

Feb 2019 – Jan 2020

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REGAL INVESTMENT ADVISORS LLC

Oct 2012 – Jan 2020

KENTWOOD, MI

WCM INVESTMENT MANAGEMENT

May 2011 – Oct 2012

LAGUNA BEACH, CA

MORGAN STANLEY & CO., INCORPORATED

Apr 2007 – Aug 2007

BIRMINGHAM, MI

MORGAN STANLEY

Mar 2006 – Apr 2007

BIRMINGHAM, MI

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 31

Series 65

Series 66

Registration record

First registered · March 22, 2006

Years registered · 20

Professional designation · CFP

Disclosure History

2020Employment Separation After Allegations

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

REGAL INVESTMENT ADVISORS LLC

CRD 125004 · SEC 801-71923

AUM

$2.6B

Regulatory assets under management

Employees

140

12,870 client accounts

Services offered by REGAL INVESTMENT ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at REGAL INVESTMENT ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does James Carroll Tassoni offer?

James Carroll Tassoni specializes in Financial Planning, Investment Management, Wealth Management.

What are James Carroll Tassoni's credentials?

James Carroll Tassoni holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Carroll Tassoni located?

James Carroll Tassoni is based in KENTWOOD, Michigan, last registered with REGAL INVESTMENT ADVISORS LLC.

How does James Carroll Tassoni charge for services?

James Carroll Tassoni's firm is compensated through percentage of aum, hourly charges, subscription fees, other: third party fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is REGAL INVESTMENT ADVISORS LLC?

REGAL INVESTMENT ADVISORS LLC has approximately 140 employees and manages $2.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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