seller-profile

Josh Darwin

Regal Financial

669 South St

Needham, MA 02492

617-281-2721

Connect with Josh

General Information

Firm Start Year

CRD#

2153443

Firm CRD#

125004

States Licensed in

All 50 States

Years of Experience in Financial Services

30

Number of Years with Current Firm

2

Work Experience

Smith Barney, Financial Consultant. Bank of America / Merrill Lynch - Managing Director, Bosotn MA 2001 - 2018

Work with the following types of clients

Investment Clubs, Businesses, Individual Investors, Non-Profit Organizations

Advisory Services Provided

401K Rollovers, Investment Advice & Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Wealth Management, Financial Planning, Portfolio Management, Retirement Planning, Financial Advice & Consulting

Compliance

Registered Investment Advisor

Yes

Investment Advisor Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Securities Licenses

Series 65, Series 63

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$100,000.00

Education

Bachelor of Arts -

Tufts University
09/10/1987 - 05/10/1991