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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

MICHAEL GERARD HICKEY

Advisor at REGAL ADVISORY SERVICES, INC.

GLENVIEW, IL | Fort Myers, FL

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Search this name across graphsid dfx:ria:4378bfc4-0cef-d57c-1cf7-58074e17fef3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 28, 2002 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 ADVISORY SERVICES, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 22, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jul 22, 1988
First registration: Jun 28, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1816617

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 ADVISORY SERVICES, INC.	Independent wealth	Oct 26, 2023	n/a	yes	GLENVIEW, IL\|Fort Myers, FL	Current employment
LEVEL FOUR ADVISORY SERVICES	Bd affiliated wealth	Dec 21, 2021	Oct 26, 2023	no	GRAYSLAKE, IL	Previous registration
HARBOR FINANCIAL SERVICES, LLC	Former SEC adviser	Jan 8, 2013	Dec 21, 2021	no	DALLAS, TX\|MOBILE, AL\|Grayslake, IL\|MOBILE, AL\|MOBILE, AL\|Lake Forest, IL\|Milton, GA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Jan 4, 2013	no	NORTH RIVERSIDE, IL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Aug 27, 2002	May 15, 2009	no	Oak Brook, IL\|NORTHBROOK, IL\|NORTHBROOK, IL	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Jun 28, 2002	Aug 19, 2002	no	CHICAGO, IL	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
LEVEL FOUR ADVISORY SERVICES	REGAL ADVISORY SERVICES, INC.	Oct 26, 2023	Oct 26, 2023	0	Firm change	Ibd to RIA
HARBOR FINANCIAL SERVICES, LLC	LEVEL FOUR ADVISORY SERVICES	Dec 21, 2021	Dec 21, 2021	0	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	HARBOR FINANCIAL SERVICES, LLC	Jan 4, 2013	Jan 8, 2013	4	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 15, 2009	Jan 2, 2009	-133	Firm change after gap	Other
KEYBANC CAPITAL MARKETS INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Aug 19, 2002	Aug 27, 2002	8	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
25700:134086:GA:2021-12-21	Dec 21, 2021	Dec 21, 2021	MILTON, GA	Firm change

Relationships

Registered with (6)

→ REGAL ADVISORY SERVICES, INC.Registered adviserregistration: current employment
Oct 26, 2023 to presentfactForm ADV
→ LEVEL FOUR ADVISORY SERVICESRegistered adviserregistration: previous registration
Dec 21, 2021 to Oct 26, 2023factForm ADV
→ HARBOR FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 8, 2013 to Dec 21, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jan 4, 2013factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 27, 2002 to May 15, 2009factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Jun 28, 2002 to Aug 19, 2002factForm ADV

Dated events

Occurred
Oct 26, 2023
Advisor changed firm
Michael Gerard Hickey left Level Four Advisory Services for Regal Advisory Services, Inc. (registered 2023-10-26)
Form ADVobserved 5 days ago