Patrick D. Regan

BREAN CAPITAL

BOSTON, MA 02110

Some features on this profile are disabled

CRD#: 1608877

Professional summary

Patrick Dennis Regan, who also goes by Pat Regan, Patrick D Regan, Patrick J Regan, is a registered financial professional currently at BREAN CAPITAL, LLC located in Boston, Massachusetts.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1987. Patrick has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pat Regan | Patrick D Regan | Patrick J Regan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Dennis Regan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 4, 2012 - Present

BREAN CAPITAL, LLC

Office #1: One International Place Suite 1430, Boston, MA 02110

CRD#: 23723

BOSTON, MA

Past

October 16, 2008 - June 5, 2012

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

March 16, 1999 - October 16, 2008

BROADPOINT DESCAP

CRD#: 14997

NEW YORK, NY

Past

January 23, 1995 - February 10, 1999

CONTIFINANCIAL SERVICES CORPORATION

CRD#: 11200

NEW YORK, NY

Past

January 13, 1987 - March 23, 1987

SIGNATOR INVESTORS, INC.

CRD#: 468

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(2/22/2016)

New York
(6/4/2012)

Exams

State Security Law Exam

Series 63

Date: 9/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/12/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/2002

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BREAN CAPITAL, LLC

BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.

CRD#: 23723 / SEC#: , 8-40742

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

505 Fifth Avenue 5th Floor, New York, NY 10017

Mailing Address

505 Fifth Avenue 5th Floor, New York, NY 10017

Phone number

(212) 702-6500

Established

Delaware since 02/03/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BMUR HOLDINGS, LLC	HOLDING COMPANY
HUNT FS HOLDINGS III, LLC	HOLDING COMPANY
ALLURED LLC	HOLDING COMPANY
LIZINATOR LLC	HOLDING COMPANY
BREAN CAPITAL HOLDINGS, LLC	HOLDING COMPANY
CORWEN, STEPHEN MILLER	HEAD OF MBS/ABS SALES	2943061
FINE, ROBERT MICHAEL	CHIEF EXECUTIVE OFFICER	1450313
GUZMAN, JEFFREY M	CHIEF COMPLIANCE OFFICER	3095123
LAMARSH, JONATHAN ANDREW	PRINCIPAL OPERATIONS OFFICER	5436335
MACKLIN, JOHN TIMOTHY	PRINCIPAL OPERATIONS OFFICER	1446800
SARABELLA, ARNOLD	CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER	1717059
TIRSCHWELL, ROBERT MOYSE	EXECUTIVE MANAGING DIRECTOR	2230453

Disclosures

Regulatory Event

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick D. Regan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Dennis Regan's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLEACHER & COMPANY SECURITIES, INC.

BROADPOINT DESCAP

CONTIFINANCIAL SERVICES CORPORATION

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/5/1995

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1995

Series 6

Date: 1/12/1987

Series 24

Date: 5/30/2002

FINRA

Nasdaq Stock Market

Current Firm

BREAN CAPITAL, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BREAN CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors