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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Ericka Butler

Advisor at REGAL INVESTMENT ADVISORS LLC

North Haven, CT | KENTWOOD, MI

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Search this name across graphsid dfx:ria:353ab8a1-083d-b565-ef85-fef12293a0fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Sep 30, 2022 to Sep 14, 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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 30, 2022
First registration: Sep 30, 2022
Dual registered: yes, broker-dealer
Other names: Ericka Lee Witkoski|Ericka Witkoski|Ericka Lee Witkoski|Ericka Lee Butler
IAPD individual key: 7424238

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	Jan 26, 2026	n/a	yes	KENTWOOD, MI\|North Haven, CT	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Feb 28, 2025	Jan 23, 2026	no	CHESHIRE, CT\|CHESHIRE, CT	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Oct 28, 2022	Feb 18, 2025	no	MINNEAPOLIS, MN\|BERLIN, CT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 30, 2022	Oct 26, 2022	no	HARTFORD, CT	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
CETERA INVESTMENT ADVISERS LLC	REGAL INVESTMENT ADVISORS LLC	Jan 23, 2026	Jan 26, 2026	3	Firm change	Ibd to ibd
THRIVENT INVESTMENT MANAGEMENT INC.	CETERA INVESTMENT ADVISERS LLC	Feb 18, 2025	Feb 28, 2025	10	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	THRIVENT INVESTMENT MANAGEMENT INC.	Oct 26, 2022	Oct 28, 2022	2	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ REGAL INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Jan 26, 2026 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Feb 28, 2025 to Jan 23, 2026factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Oct 28, 2022 to Feb 18, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 30, 2022 to Oct 26, 2022factForm ADV

Dated events

Occurred
Jan 23, 2026
Advisor changed firm
Ericka Butler left Cetera Investment Advisers Llc for Regal Investment Advisors Llc (registered 2026-01-26)
Form ADVobserved 6 days ago
Occurred
Feb 18, 2025
Advisor changed firm
Ericka Butler left Thrivent Investment Management Inc. for Cetera Investment Advisers Llc (registered 2025-02-28)
Form ADVobserved 6 days ago
Occurred
Oct 26, 2022
Advisor changed firm
Ericka Butler left Ubs Financial Services Inc. for Thrivent Investment Management Inc. (registered 2022-10-28)
Form ADVobserved 6 days ago