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

Apr 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

Jul 8, 2015

First registration

Jun 29, 2024

Dual registered

yes, broker-dealer

Other names

Hapaki Robert Franco|HAPAKI FRANCO|HERBERT ROBERT FRANCO|Herbert Robert Franco|HAPAKI FRANCO|HERBERT ROBERT FRANCO|Herbert Franco|Herbert R Franco

IAPD individual key

5575090

• Occurred

  Nov 28, 2025
  Advisor changed firm

  Herbert Robert Franco left Mml Investors Services, Llc for Regal Investment Advisors Llc (registered 2026-07-22)

  Form ADVobserved 6 days ago
• Occurred

  Nov 6, 2024
  Advisor changed firm

  Herbert Robert Franco left Fidelity Personal And Workplace Advisors for Mml Investors Services, Llc (registered 2025-03-21)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:de5f0281-a841-1f69-eb91-390b714884f3

First observed

Jun 29, 2024

Last observed

Sep 14, 2026 7 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.