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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Marina B Peacock

Advisor at REGAL INVESTMENT ADVISORS LLC

Capron, IL | KENTWOOD, MI | Marengo, IL

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Search this name across graphsid dfx:ria:ed922860-7fdf-208b-86d3-b76d229b9553

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 15, 2012 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: Oct 12, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 12, 2012
First registration: Oct 15, 2012
Dual registered: yes, broker-dealer
Other names: MARINA B BOLTE|MARINA B LAMBERTI|MARINA BENNITA LAMBERTI
IAPD individual key: 6105367

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 6, 2022	n/a	yes	Marengo, IL\|KENTWOOD, MI\|Capron, IL	Current employment
MORGAN STANLEY	Wirehouse	Feb 23, 2021	Dec 13, 2021	no	ROCKFORD, IL	Previous registration
BATES FINANCIAL ADVISORS, INC.	Independent wealth	Feb 26, 2019	Feb 5, 2021	no	ROCKFORD, IL	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Sep 26, 2016	Feb 5, 2019	no	ROCKFORD, IL\|Rockford, IL	Previous registration
BATES FINANCIAL ADVISORS, INC.	Independent wealth	May 14, 2014	Sep 23, 2016	no	ROCKFORD, IL	Previous registration
EDWARD JONES	National bd RIA	Oct 15, 2012	Nov 20, 2012	no	ST LOUIS, MO	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
MORGAN STANLEY	REGAL INVESTMENT ADVISORS LLC	Dec 13, 2021	Jan 6, 2022	24	Firm change	Wirehouse to ibd
BATES FINANCIAL ADVISORS, INC.	MORGAN STANLEY	Feb 5, 2021	Feb 23, 2021	18	Firm change	RIA to wirehouse
ROBERT W. BAIRD & CO. INCORPORATED	BATES FINANCIAL ADVISORS, INC.	Feb 5, 2019	Feb 26, 2019	21	Firm change	RIA to RIA
BATES FINANCIAL ADVISORS, INC.	ROBERT W. BAIRD & CO. INCORPORATED	Sep 23, 2016	Sep 26, 2016	3	Firm change	Other
EDWARD JONES	BATES FINANCIAL ADVISORS, INC.	Nov 20, 2012	May 14, 2014	540	Firm change after gap	Other

Relationships

Registered with (5)

→ REGAL INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Jan 6, 2022 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 23, 2021 to Dec 13, 2021factForm ADV
→ BATES FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Feb 26, 2019 to Feb 5, 2021factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Sep 26, 2016 to Feb 5, 2019factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Oct 15, 2012 to Nov 20, 2012factForm ADV

Dated events

No dated event names this entity yet.