CRD #7297 · FINRA BrokerCheck + SEC IAPD

Regal Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Regal Securities, Inc. ranks #453 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #20 of 200 on the same disclosure sort used on the state browse page. Regal Securities, Inc. carries 15 BrokerCheck disclosures across 11 branch offices - elevated load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
11
branch offices
15
disclosures
#453 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7297 Regal Securities, Inc.

Regal Securities, Inc. · Grade B · 15 disc · 1.36/office · Regional firm

  • CRD 7297
  • GRADE B
  • DISC 15
  • REG 11
  • ARB 4
  • CIV 0
  • BRANCH 11
  • PER-OFF 1.36
  • RANK #453 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Mizuho Securities USA LLC (1.23 disc/office)

Mizuho Securities USA LLC1.23Roth Capital Partners, LLC1.56TD Securities (USA) LLC1.16Regal Securities, Inc. (this)1.36
Disclosures per office among regional firm peers (lower is cleaner)

Regal Securities, Inc. ranks #453 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.36 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

11 offices

FINRA: Small firm

Total disclosures

15 events

On FINRA BrokerCheck

Regulatory events

11 actions

73% of all disclosures

Disclosures per office

1.36 per office

15 ÷ 11 offices

Regal Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 22% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). This entry sits in this band. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 11
Arbitrations 4
Civil Events 0
Total 15

Counts for Regal Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 11 Arbitration 4 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Glenview, IL
CRD Number
7297

Elevated disclosures per office

Regal Securities, Inc. in the heavier-disclosure third

Regal Securities, Inc. carries 15 BrokerCheck disclosures across 11 branch offices - a heavier-third raw book among graded firms (#453 of 20,055). Regulator-initiated events are 73% of the book (11 regulatory / 4 arbitration / 0 civil).

Regal Securities, Inc. runs 1.36 disclosures per branch office (cleaner than only 78% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Regal Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 2.95× state average

Regal Securities, Inc. sits above the Illinois disclosure average

Regal Securities, Inc. reports 15 BrokerCheck disclosures, 2.95× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Regal Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Regal Securities, Inc. ranks #453 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #20 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Regal Securities, Inc.?
A grade of B reflects Regal Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 15 total disclosures across 11 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Regal Securities, Inc. have?
Regal Securities, Inc. has 15 total FINRA disclosures, including 11 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Regal Securities, Inc.?
Regal Securities, Inc. operates 11 branch offices and is classified by FINRA as a small firm, registered in IL (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Regal Securities, Inc.'s disciplinary record?
You can verify Regal Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7297. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Regal Securities, Inc.'s 15 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Regal Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Regal Securities, Inc. carries 15 disclosures across 11 branch offices (about 1.36 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Regal Securities, Inc., both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.