William F. 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.
William Francis Regan was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53 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
January 17, 2014 - February 20, 2014
CHELSEA FINANCIAL SERVICES
February 24, 2012 - January 17, 2013
LPL FINANCIAL LLC
February 22, 2012 - January 17, 2013
LPL FINANCIAL LLC
October 7, 2003 - June 7, 2011
CHASE INVESTMENT SERVICES CORP.
October 15, 2002 - June 7, 2011
CHASE INVESTMENT SERVICES CORP.
March 12, 1999 - October 22, 2002
UBS FINANCIAL SERVICES INC.
July 31, 1993 - March 18, 1999
CITIGROUP GLOBAL MARKETS INC.
January 22, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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