DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

JAMES BRIAN DILLON

Advisor at REGAL INVESTMENT ADVISORS LLC

PLYMOUTH, IN | KENTWOOD, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2f948cfd-2c16-e874-efec-01c97336125a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 22, 2006 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Sep 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 14, 2006
First registration: Sep 22, 2006
Dual registered: yes, broker-dealer
Other names: JAMES B DILLON
IAPD individual key: 5148845

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
REGAL INVESTMENT ADVISORS LLC	Bd affiliated wealth	Sep 3, 2014	n/a	yes	PLYMOUTH, IN\|KENTWOOD, MI	Current employment
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Jan 5, 2010	Sep 24, 2014	no	PLYMOUTH, IN	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 13, 2009	Dec 3, 2009	no	SOUTH BEND, IN	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Apr 14, 2009	Nov 13, 2009	no	SOUTH BEND, IN	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Sep 22, 2006	Mar 30, 2009	no	MISHAWAKA, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CONCOURSE FINANCIAL GROUP ADVISORS	REGAL INVESTMENT ADVISORS LLC	Sep 24, 2014	Sep 3, 2014	-21	Firm change	Other
PNC WEALTH MANAGEMENT	CONCOURSE FINANCIAL GROUP ADVISORS	Dec 3, 2009	Jan 5, 2010	33	Firm change	Other
NATCITY INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Nov 13, 2009	Nov 13, 2009	0	Bulk transfer	Other
RAYMOND JAMES & ASSOCIATES, INC.	NATCITY INVESTMENTS, INC.	Mar 30, 2009	Apr 14, 2009	15	Firm change	Other

Relationships

Registered with (5)

→ REGAL INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Sep 3, 2014 to presentfactForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Jan 5, 2010 to Sep 24, 2014factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 13, 2009 to Dec 3, 2009factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 14, 2009 to Nov 13, 2009factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Sep 22, 2006 to Mar 30, 2009factForm ADV

Dated events

No dated event names this entity yet.