Gregory G. 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.
Gregory George Regan was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1988. Gregory had worked at 10 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - January 2, 2013
HAMPTON HEDGE FUND MARKETING, LLC
April 28, 2010 - December 23, 2010
CORECAP INVESTMENTS, LLC
May 15, 2007 - April 9, 2008
GUNNALLEN FINANCIAL, INC
June 3, 2003 - September 27, 2006
AEGIS CAPITAL CORP.
October 25, 2002 - June 9, 2003
GLOBAL PARTNERS SECURITIES INC.
March 23, 2001 - May 23, 2002
PHILLIP LOUIS TRADING, INC.
November 28, 2000 - March 13, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
November 2, 1998 - October 24, 2000
SHARPE CAPITAL, INC.
January 6, 1997 - September 23, 1998
RBC CAPITAL MARKETS CORPORATION
March 22, 1988 - December 11, 1996
RICHARDSON GREENSHIELDS SECURITIES INC.
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 55
Date: 5/15/1999
Limited Representative-Equity Trader ExamCurrent Firm
HAMPTON HEDGE FUND MARKETING, LLC
CRD#: 141685 / SEC#: , 8-67406
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
