James B. 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.
James Barrett Regan, who also goes by Jim Regan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 8 firms and has passed the Series 63, SIE, 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
November 12, 2013 - October 10, 2014
BRAVER STERN SECURITIES LLC
January 28, 2013 - November 12, 2013
SMI CAPITAL MARKETS LLC
August 3, 2009 - March 1, 2011
AMHERST SECURITIES GROUP, L.P.
August 1, 2008 - July 16, 2009
COHEN & COMPANY SECURITIES, LLC
October 27, 2003 - January 23, 2007
ABN AMRO INCORPORATED
April 3, 2000 - October 24, 2003
CREDIT SUISSE SECURITIES (USA) LLC
August 19, 1991 - April 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 8, 1990 - February 1, 1990
R.J. KROSS ASSOC. LTD.
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
Current Firm
BRAVER STERN SECURITIES LLC
CRD#: 29108 / SEC#: 801-79168, 8-43611
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
