John J. Regan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Joseph Regan JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 10 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 3, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2020 - November 17, 2023
PIPER SANDLER & CO.
April 3, 2002 - January 3, 2020
SANDLER, O'NEILL & PARTNERS, L.P.
September 6, 2001 - March 22, 2002
BROADPOINT DESCAP
April 3, 1995 - September 2, 1999
DEMOPOLIS CAPITAL INC.
August 3, 1992 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 3, 1992 - February 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
August 3, 1992 - February 23, 1995
LEHMAN BROTHERS INC.
July 27, 1987 - January 15, 1990
SANWA SECURITIES (USA) CO., L.P.
September 28, 1984 - August 20, 1986
KENNEY & BRANISEL MUNICIPALS, INC.
September 19, 1984 - January 29, 1985
PARR SECURITIES CORP.
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 3/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
