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Industry Leadership. Tested In The Trenches Results.


Professionals affiliated with Regulus are completely independent, yet not alone. We understand our colleagues require the full scope of investment products and services to meet the demands of today’s modern investor. You can market under your own name or use our established retail brand, Regal Financial Group.


Our clients are the investment professionals that have chosen to affiliate with us. We’ve integrated a service attitude in our culture to provide exceptional support. When you contact Regulus, our dedicated and attentive team of associates are responsive and committed to working through your request or to completion and resolution. We are a performance-based organization and believe in accountability.

Progressive Technologies

A highly technological infrastructure allows integration between the B/D, RIA, and field force. As technology advances and our economies of scale increase, we bolt on our services to help make sure that you have a competitive advantage in the marketplace.

Insurance Support

Regulus works with major IMOs to support their affiliates with additional marketing in the insurance arena as they continue to grow their businesses. We are grateful to have partners led by leaders who embrace our core values. Our stance is fixed business does not run through our grid and our IMO. Our partners work with us on an override basis.

Empowered Technology

COMET is an on-demand, paperless processing system for reps affiliated with Regulus Financial Group. It’s driven by an integrated document management and workflow platform to manage forms processing, check processing, and more – all integrated to create efficiencies for the financial professional.

Xtiva delivers critical performance and payout information daily across everything that impacts net payout - from activity blotters to period performance and pending to posted payouts. Brokers, branch managers and firm management can all access comprehensive compensation and sales tracking screens complete with trends, rankings, charts, electronic statements and transaction-level detail. 

Marketing Support

First, different: These are key components of any effective marketing plan. Being first to the market is often difficult but you can always be different. Regulus’ marketing solutions give you a degree of separation in a crowded marketplace. We have the tools and processes in place for you to build your business and maintain an excellent customer service model. Our resources help advisors create top-of-mind awareness and a pipeline of qualified, prospective clients to work with.

Interested in learning more?

Contact us for a confidential conversation to learn more about our IQL initiative.