Broker Check

As an Advisor

At Regency Investments we are a group of established Independent Financial Advisors who are driven by a passion to help our clients achieve their financial goals. We are looking for experienced like-minded advisors who share the same passion. At Regency Investments we understand fully that the top priority of a Financial Advisor is striving to help their clients achieve their various financial goals and financial wellness. We recognize how little of time this leaves for running an efficient, low stress, profitable business for yourself. We have solutions for you whether you are looking for the opportunity to share office space, support staff or want to maintain your own space and staff. You also have an option to simply use our office and/or conference room as a contact point. We have options and support that you may choose from and still remain fully independent to run your own business.

Your Solution is Our Goal; to provide a fair and balanced professional platform to help financial advisors collaborate with their peers, share resources, work towards a continuity/succession plan, run a more satisfying practice, expand on efficiency and increase overall profitability while achieving a better work/life balance.

If you are looking for -

  • Desire to remain fully independent and own your own book of business
  • Synergy to work within the group with other experienced advisors and staff
  • Affiliate with a team of professional advisors for economies of scale and support
  • Create a more organized and positive perception with the public with a community approach to wealth management
  • Market your business under the Regency Investments name and/or use your own marketing name
  • Monthly collaboration/investment committee meetings
  • Option to be included on the Regency Investments website and/or use your own marketing website
  • Regency Investments Facebook page and/or use your own marketing page
  • Access to a staff that is very knowledgeable with Securities America’s systems, people & technology
  • Regency Investments has good relations with Securities America’s corporate office staff & upper management
  • Access to office assistants on a per hour basis as needed (Contracted 1099)
  • Access to split use of a permanent assistant in office or remotely with another advisor (Employee W-2)
  • Limited use of Regency Investments proprietary marketing documents and tools
  • Succession planning opportunities (buy & selling opportunities)
  • Competitive higher than average payouts & value-added services
  • Office within our office, your office, or home office
  • Use of our conference room

Who we are looking for—

Our Broker Dealer


Securities America, Inc. is one of the nation’s largest independent Broker Dealers. For information, please visit Join SAI.

Our Clearing Firm

Securities America offers two different and unique clearing relationships: National Financial Services, LLC and Pershing, LLC. You choose which relationship is best for you.

For a confidential conversation contact Greg Coenen –

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