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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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RR

Robert J. Regan

REGAN FINANCIAL GROUP
Danville, CA 94526
Some features on this profile are disabled
CRD#: 2322096
RR

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.
The advisor shows no other business activity.

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

BD
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

BD
CRD#: 104248
SAN FRANCISCO, CA
Past

August 11, 2000 - September 27, 2005

VALMARK SECURITIES, INC.

BD
CRD#: 31243
AKRON, OH
Past

April 28, 1994 - August 7, 2000

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

April 28, 1994 - August 10, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

February 24, 1993 - March 30, 1994

MONY SECURITIES CORPORATION

BD
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/8/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/7/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/19/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2001
General Securities Principal Examination

Current Firm

RF
REGAN FINANCIAL GROUP, LLC
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)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts11
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.

Company Information

REGAN FINANCIAL GROUP, LLC

CRD#: 284756Danville, CA 94526

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