Michael Thomas has been Director of Relationship Management of Regal Advisory Services since January 2025, is a control person of the firm and directly owns under 5% of it.
Regal Advisory Services, Inc. is a Glenview, IL firm with $121M under management, 274 clients and 16 advisers across 13 offices, as of its July 2026 filing.
No adviser firm registrations are on Michael Thomas’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 34 | Retail Off-Exchange FOREX Examination | 18 November 2010 |
| Series 3 | National Commodity Futures Examination | 6 August 2010 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 11 June 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 July 1994 |
| Series 7 | General Securities Representative Examination | 17 May 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 March 1991 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- Retail Off-Exchange FOREX Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael Dean Thomas
- CRD
- 2110140
- Firm
- Regal Advisory Services · CRD 123842
- Role
- Director of Relationship Management
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Thomas work?
Michael Thomas has been Director of Relationship Management of Regal Advisory Services, Inc. since January 2025, and is a control person of the firm.
Does Michael Thomas have a current investment-adviser registration?
Michael Thomas has a current broker registration and no current investment-adviser registration.
What exams has Michael Thomas passed?
Michael Thomas has passed 9 licensing exams: the Series 6, Series 7, Series 63, Series 8, Series 3, Series 34, Series 9, Series 24 and Series 10. The earliest, the Series 6, was passed in March 1991. FINRA credited Michael Thomas with the SIE, which began in October 2018.
Is Michael Thomas registered with FINRA?
Yes. Michael Thomas has a current broker registration, under CRD 2110140.
Source: FINRA BrokerCheck
How can I verify Michael Thomas’ record?
Search CRD 2110140 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Thomas’ full registration record.