Daniel Robert Bregen
Professional Summary
Daniel Robert Bregen, who also goes by Dan Bregen, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona and OSAIC INSTITUTIONS, INC. located in Meriden, Connecticut. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Bregen
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Years of Experience
33 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Current Firm
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
Contact Information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858Phone Number
(203) 599-6000Established
Connecticut since 04/07/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,839SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | — |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| REID, SHANNON | DIRECTOR | 4815189 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory Assets Under Management
Total Number of Accounts
11,892AUM (Assets Under Management)
$6,494,001,878Disclosures
Regulatory Event
9Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
State Registrations and Notice Filings
(5/7/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1996SRO Registrations
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
CRS (Client Relationship Summary) - BD
Click below to view Daniel Robert Bregen's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION