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Why Regent Financial Group?

We are often asked about the services we offer, how we operate and what distinguishes us from other financial advisors. Here are a few points of distinction:

  • Independent - We work only for our clients and not for a brokerage firm or other financial services company. We are under no obligation to represent or use specific financial products or instruments produced by any firm. We provide financial tools to our clients from a broad array of national resources. We sit on your side of the table helping you find the best solutions for your situation.
  • Fiduciary care. This means our mission is to put clients’ financial interests first, even ahead of our own business goals. We have legal standards established by Congress, enforced by the SEC and reflected in the standards by which we abide. We must act as fiduciary in all aspects of our relationship with you.
  • Compensation: We have no sales quotas, hidden charges, referral fees or in-house products presenting conflicts of interest. We work only for you and get paid only by you, so we can provide you with independent, objective advice.
  • Personalized service, long-term relationships. At Regent Financial Group you are more than an account number in a faceless conglomerate. We are relationship oriented not transaction driven. We take the time to understand your vision for your future and that of your family.
  • Boutique-sized business. To maintain our boutique levels of service, we intentionally maintain a modest core of in-house professionals, augmented by a rich network of strategic alliances (CPAs, Attorneys and others). This way, we can dedicate the majority of our time to get to know you, remain in touch with you, and ensure that your financial goals are well-aligned with what is really important to you and your family.
  • Disciplined investing. We apply academic principles to our investment management process so you can invest according to the evidence on what really works for investors, and avoid the tempting but distracting pitfalls. Our investment process is guided by goals-based planning, managing market risk through diversification and discipline.
  • Experience.  Regent Financial Group has been providing wealth management, life planning, transition planning, financial planning and insurance services for over 25 years. We’re passionate about applying our collective experience to benefit the clients we are privileged to serve.

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 Securities offered through Kestra Investment Services, LLC (Kestra IS) Member FINRA/SIPC. Investment Advisory Services may be offered through Kestra Advisory Services, LLC (Kestra AS). Regent Financial Group, LLC is not affiliated with Kestra IS or Kestra AS.

Kestra IS and Kestra AS do not provide legal or tax advice. 

There is no guarantee that the plan will grow to cover college expenses. In addition, depending upon the laws of your home state or designated beneficiary, favorable state tax treatment or other benefits offered by such home state for investing in 529 college savings plans may be available only if you invest in the home state's 529 college savings plan. Any state-based benefit offered with respect to a particular 529 college savings plan should be one of many appropriately weighted factors to be considered in making an investment decision. You should consult with your financial, tax or other adviser to learn more about how state-based benefits (including any limitations) would apply to your specific circumstances and also may wish to contact your home state or any other 529 college savings plan to learn more about the features, benefits and limitations of that state's 529 college savings plan. You may also go to for more information.

This site is published for residents of the United States only. Registered Representatives with Kestra IS and Investment Advisor Representatives of Kestra AS may only conduct business with residents of the states and jurisdictions in which they are properly registered. For additional information, please contact the Compliance Department at 512-697-6000.

This communication is strictly intended for individuals residing in the state(s) of CA, CT, FL, MA, NY and NC. No offers may be made or accepted from any resident outside the specific states referenced.

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