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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

CORY JAMES THOMPSON

Advisor at REGAL INVESTMENT ADVISORS LLC

Jenks, OK | KENTWOOD, MI

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Search this name across graphsid dfx:ria:8855ee79-5791-b851-bfbb-ec176f9e6aee

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2004 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: Nov 25, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 25, 1998
First registration: Jan 2, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 3146207

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	Nov 30, 2015	n/a	yes	Jenks, OK\|KENTWOOD, MI	Current employment
FIRST INDEPENDENT ADVISORY SERVICES, INC.	n/a	Jan 2, 2013	Dec 1, 2015	no	BROKEN ARROW, OK\|TULSA, OK\|JENKS, OK	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Dec 1, 2010	Sep 4, 2012	no	TULSA, OK	Previous registration
ARVEST WEALTH MANAGEMENT	Independent wealth	Jan 2, 2004	Dec 2, 2010	no	TULSA, OK\|TULSA, OK\|TULSA, OK	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
FIRST INDEPENDENT ADVISORY SERVICES, INC.	REGAL INVESTMENT ADVISORS LLC	Dec 1, 2015	Nov 30, 2015	-1	Firm change	Other
CETERA INVESTMENT SERVICES LLC	FIRST INDEPENDENT ADVISORY SERVICES, INC.	Sep 4, 2012	Jan 2, 2013	120	Firm change	Other
ARVEST WEALTH MANAGEMENT	CETERA INVESTMENT SERVICES LLC	Dec 2, 2010	Dec 1, 2010	-1	Firm change	Other

Relationships

Registered with (4)

→ REGAL INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Nov 30, 2015 to presentfactForm ADV
→ FIRST INDEPENDENT ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2013 to Dec 1, 2015factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Dec 1, 2010 to Sep 4, 2012factForm ADV
→ ARVEST WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 2, 2004 to Dec 2, 2010factForm ADV

Dated events

No dated event names this entity yet.