Robert J. Regan

REGAN FINANCIAL GROUP

Danville, CA 94526

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CRD#: 2322096

Professional summary

Robert Joseph Regan, CLU®, who also goes by Rob Regan, is a registered financial advisor currently at REGAN FINANCIAL GROUP, LLC located in Danville, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob 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.

1) REGAN INSURANCE SOLUTIONS (SINCE 02/01/2019); NOT INVESTMENT RELATED; 145 TOWN AND COUNTRY DR STE 101 DANVILLE CA 94526 NATURE OF BUSINESS: INSURANCE AGENT POSITION, TITLE OR RELATIONSHIP: AGENT START DATE: 11/1992; HOURS PER MONTH: 0 - 10 HOURS; HOURS PER MONTH DURING TRADING HOURS: 0-14 HOURS; ACT AS INSURANCE AGENT FOR LIFE, DISABILITY INCOME, LONG TERM CARE, P&C INSURANCE SALES. AGENCIES/BROKERS USED- ASH BROKERAGE, MICHAEL FITZGERALD INSURANCE, COOL SPRINGS FINANCIAL GROUP, WALSH CARTER & ASSOCIATES AND VARIOUS DIRECT INSURANCE COMPANIES. 2) St. Mary's College Alumni Board - Four meetings a year. Less than 5 hours per month. St. Mary's College 1928 Saint Mary's Road, Morage, CA 94575

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph 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®

CLU^®

Chartered Life Underwriter

Experience

Current

January 4, 2017 - Present

REGAN FINANCIAL GROUP, LLC

Office #1: 145 Town And Country Road Suite 101, Danville, CA 94526

RIA

CRD#: 284756

Danville, CA

Past

January 11, 2016 - December 31, 2016

REGAN FINANCIAL GROUP, LLC

RIA

CRD#: 168939

DANVILLE, CA

Past

September 27, 2005 - January 7, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

DANVILLE, CA

Past

September 27, 2005 - January 7, 2016

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

DANVILLE, CA

Past

February 20, 2004 - September 27, 2005

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

DANVILLE, CA

Past

October 31, 2001 - March 2, 2004

BPM WEALTH MANAGEMENT, LLC

RIA

CRD#: 126494

SAN FRANCISCO, CA

Past

April 2, 2001 - May 6, 2004

VWM INSURANCE SERVICES, LLC

CRD#: 104248

SAN FRANCISCO, CA

Past

August 11, 2000 - September 27, 2005

VALMARK SECURITIES, INC.

CRD#: 31243

AKRON, OH

Past

April 28, 1994 - August 7, 2000

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 28, 1994 - August 10, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

February 24, 1993 - March 30, 1994

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/4/2017)

IAR

Texas
(4/4/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/22/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/19/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/2001

General Securities Principal Examination

Current Firm

REGAN FINANCIAL GROUP, LLC

CRD#: 284756 / SEC#:

California

Registered Investment Advisory firm - (1/1/2017 Approved)

Texas

Registered Investment Advisory firm - (4/4/2017 Conditional Restricted)

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Contact information

Main Address

145 Town And Country Road Suite 101, Danville, CA 94526

Mailing Address

Phone number

(925) 820-0630

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 418,314

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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Regan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Regan's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGAN FINANCIAL GROUP, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

VALMARK ADVISERS, INC.

BPM WEALTH MANAGEMENT, LLC

VWM INSURANCE SERVICES, LLC

VALMARK SECURITIES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2001

Series 63

Date: 2/19/1993

SIE

Date: 1/7/2016

Series 7

Date: 11/22/2000

Series 6

Date: 2/19/1993

Series 24

Date: 1/11/2001

Current Firm

REGAN FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGAN FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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