Carlos Alberto Guzman

Regal Investment Advisors LLC

8 Years of Experience

1 DisclosureSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Regal Investment Advisors LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

107 advisors

Number of Clients

7,859 clients

Average Client Portfolio

$311K average

Assets Under Management

$2.4B

Fee Structure

Financial Planning:Investment management only

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $500K	2.50%
$500K - $1.0M	2.25%
$1M+	2.00%

Fees are negotiated on an IAR-by-IAR, client-by-client, or account-by-account basis.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

Location

300 N San Dimas Ave, San Dimas, CA, 91773

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History

Regulatory History (1)

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Judgment / Lien

January 2004

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Other Business ActivitiesSells Insurance

Carlos is the president of CKG Insurance Agency Inc. since 2016, selling life insurance products and fixed/indexed annuities, dedicating nearly full-time hours to this activity.

Employment History

Current Registrations

Regal Investment Advisors LLC

November 2018 - Present · 7 yrs 3 mos

Previous Registrations

Brookstone Capital Management LLC

May 2017 - November 2018 · 1 yr 6 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.