Regal Securities, Inc.
Shawn Herrin is an experienced finance professional with a strong background in trading and operations. Since April 1998, Shawn has served as Chief Operating Officer and Senior Vice President at Regal Securities, Inc., where responsibilities include developing new business relationships, establishing DMA platforms, implementing corporate strategies, and collaborating with Compliance, Accounting, and Operations to create new lines of business. Prior to Regal, Shawn worked as a Trader at North Coast Securities for a brief period in 1997 and at Chicago Partnership Board from 1993 to 1997. Shawn holds a Bachelor’s degree in Economics from Illinois State University, earned between 1988 and 1992.
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Regal Securities, Inc.
In the race to sameness, the financial services industry is attempting to fit advisors and their clients into an increasingly limited set of solutions. Conversely, Regal does not subscribe to a one size fits all approach as each advisor’s business, and their client’s financial needs and circumstances, are unique and deserve the appropriate attention. Regal provides an Open Solution Partnership with our advisors to help them serve their clients without quotas, mandates, or grid compression. We proudly support advisory, brokerage and hybrid business models to help advisors serve clients’ best interest and we offer affiliation for Independent Advisors, Employee Advisors, and full Enterprise Solutions. Regal Securities is an independent Broker/Dealer and wealth management firm entrusted by our clients to help them navigate their financial and family journey. Regal provides brokerage and advisory solutions (through Regal Advisory Services, Inc.) created to strengthen and accelerate our advisors’ business success. Personalization and creative thinking are the foundation for our concierge service & transition team. Regal places the client and their advisor center stage to empower a life of purpose and abundance. Looking for a white glove service model and the family culture? Please contact us to start a conversation that can lead to the next step of your life and business journey of empowerment. Regal provides full service custody functions, state-of-the-art technology and execution capabilities in all major markets for Registered Representatives, Broker-Dealers, Registered Investment Advisor firms and Independent Investment Advisor Representatives through Regal Advisory Services, Inc., a Regal affiliated firm.