Disclosures & compliance.
Full transparency about how we work, what we charge, the standards we hold ourselves to, and the regulatory framework we operate under.
The Burton Group is committed to transparency and full disclosure as required by the U.S. Securities and Exchange Commission (SEC) and applicable state securities regulations. This page summarizes our key regulatory and compliance disclosures.
Regulatory status.
Investment advisory services are offered through Regal Investment Advisors, LLC ("Regal"), an SEC Registered Investment Adviser (CRD #151559). The Burton Group, LLC is an independent firm. Tony Burton is an Investment Advisor Representative ("IAR") of Regal. Brenda Burton is a licensed insurance agent and is not an Investment Adviser Representative.
Registration with the SEC or any state securities authority does not imply a certain level of skill or training. Information about Regal Investment Advisors, including its services, fees, conflicts of interest, and disciplinary history, is available in the firm's Form ADV Part 2A (the "Brochure") and Form CRS (the "Client Relationship Summary"). These documents can be accessed at the SEC's Investment Adviser Public Disclosure website or obtained from us upon request.
BrokerCheck & background.
The professional background and disciplinary history of Tony Burton and Regal Investment Advisors can be verified through FINRA BrokerCheck and the SEC's IAPD database linked above. We encourage every prospective client to use these tools before engaging any financial professional.
Fiduciary standard.
As an Investment Advisor Representative of an SEC Registered Investment Adviser, Tony Burton acts as a fiduciary when providing investment advisory services. This means he is obligated to act in clients' best interests, to provide full and fair disclosure of all material facts and conflicts of interest, and to seek best execution on transactions executed on behalf of clients. Brenda Burton is a licensed insurance agent and is not an Investment Adviser Representative; she provides insurance services in that capacity.
Fees & compensation.
The Burton Group, through Regal Investment Advisors, charges asset-based advisory fees on the assets we manage. The specific fee schedule, billing arrangement, and all applicable conflicts of interest are disclosed in Regal's Form ADV Part 2A and in each client's signed Investment Advisory Agreement. We do not earn commissions on investment products we recommend in our advisory capacity.
In addition to advisory services, The Burton Group also offers insurance products. When clients purchase insurance through us, we may receive commission-based compensation from the insurance company, separate from and in addition to any advisory fees. These arrangements are disclosed at the time of recommendation, and clients are never obligated to purchase any product through us.
State registration.
Advisory services may not be offered to residents of states in which a representative is not properly registered or exempt from registration. Please contact us to confirm the current list of states in which we are licensed to offer advisory services.
Material risks.
All investments involve risk, including the possible loss of principal. Past performance is not a guarantee of future results. Diversification and asset allocation do not eliminate the risk of investment losses. Any specific investment results discussed on this site or in our publications are historical and should not be relied upon as indications of future performance. The information on this website is provided for general informational and educational purposes only and does not constitute personalized investment, tax, legal, or accounting advice.
Tax & legal advice.
The Burton Group, LLC and Regal Investment Advisors, LLC do not provide tax or legal advice. While we routinely discuss tax considerations and may coordinate with your tax professional or attorney, we recommend that you consult a qualified CPA or attorney before making any tax or legal decision.
Third-party content.
This website may contain links to third-party websites for the convenience of our visitors. We do not endorse, sponsor, or guarantee the content of any linked external website and are not responsible for any information, products, or services offered by those websites.
Testimonials & endorsements.
The SEC Marketing Rule (effective November 4, 2022) permits the use of testimonials and endorsements subject to specific disclosure requirements. The Burton Group does not currently feature client testimonials on this website. Any future use of testimonials will be accompanied by required disclosures, including whether the person providing the testimonial is a current client and whether any compensation was provided.
Privacy notice.
The Burton Group maintains a comprehensive Privacy Policy in compliance with Regulation S-P. A copy of our current Privacy Notice is available upon request and is delivered to all clients at the inception of the advisory relationship and annually thereafter.
Contact for disclosures.
To request copies of any of the documents referenced above (including the firm's Form ADV Part 2A, Form CRS, Privacy Notice, or any other regulatory document), please contact our office or call (225) 413-2664. Documents will be provided without charge.
Last updated: November 2026. This page is provided as a general summary of our regulatory disclosures. For complete information, please refer to Regal Investment Advisors' Form ADV documents on the SEC's IAPD website.