This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

REGAL INVESTMENT ADVISORS LLC

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Dec 1, 2013earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

7derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S65

First exam

Apr 27, 2017

First registration

May 12, 2017

Dual registered

no

Other names

CARLOS GUZMAN

IAPD individual key

4948028

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2ce66b37-8ce9-15e9-53a4-00618f71f13b

First observed

May 12, 2017

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.