| Name | Title | Contact Details |
|---|---|---|
Bayeh Tesfaye |
VP Compliance Testing Manager | Profile |
Jamie Schupp |
SVP and Senior Assistant General Counsel | Profile |
Sokona Smith |
Head Of Compliance, Investment and Wealth Management | Profile |
Michelle Kennedy |
Vice President and Senior Counsel | Profile |
Julie Dougherty |
VP Compliance Project Officer at First Midwest Bank | Profile |
In the race to sameness, the financial services industry is attempting to fit advisors and their clients into an increasingly limited set of solutions. Conversely, Regal does not subscribe to a one size fits all approach as each advisors business, and their clients financial needs and circumstances, are unique and deserve the appropriate attention. Regal provides an Open Solution Partnership with our advisors to help them serve their clients without quotas, mandates, or grid compression. We proudly support advisory, brokerage and hybrid business models to help advisors serve clients best interest and we offer affiliation for Independent Advisors, Employee Advisors, and full Enterprise Solutions. Regal Securities is an independent Broker/Dealer and wealth management firm entrusted by our clients to help them navigate their financial and family journey. Regal provides brokerage and advisory solutions (through Regal Advisory Services, Inc.) created to strengthen and accelerate our advisors business success. Personalization and creative thinking are the foundation for our concierge service & transition team. Regal places the client and their advisor center stage to empower a life of purpose and abundance. Looking for a white glove service model and the family culture? Please contact us to start a conversation that can lead to the next step of your life and business journey of empowerment. Regal provides full service custody functions, state-of-the-art technology and execution capabilities in all major markets for Registered Representatives, Broker-Dealers, Registered Investment Advisor firms and Independent Investment Advisor Representatives through Regal Advisory Services, Inc., a Regal affiliated firm.
Somerville National Bank is a Hamilton, OH-based company in the Financial Services sector.
TAB Bank customizes solutions to serve the needs of small- and medium-sized commercial businesses across the US. With lasting commitment, we provide working capital solutions, equipment financing and deposit products during all stages of our customers` business life cycle in any economic environment.
The DMP Group is a Washington, DC-based company in the Financial Services sector.
ClearBridge Investments is a global equity manager with over 60 years of experience in the investment management industry. The company focuses on delivering long-term results through active, research-driven investment strategies across various asset classes. Owned by Franklin Resources, Inc., ClearBridge operates with investment autonomy, allowing it to maintain a unique approach to managing investments. The company offers a range of services, including global equity management and infrastructure investments. ClearBridge specializes in managing global equity portfolios to achieve strong absolute returns while understanding and pricing risks. Its infrastructure investment team, particularly active in Australia, seeks to identify top infrastructure assets in the listed equity market, aiming for strong risk-adjusted returns. ClearBridge is also committed to responsible investing, integrating Environmental, Social, and Governance (ESG) factors into its decision-making process and has been a signatory to the Principles for Responsible Investment since 2008. With a global presence and offices in major cities, ClearBridge manages approximately $189.6 billion in assets and serves a diverse range of investors, including institutional clients and financial advisors.