Richard W. 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.
Richard William Regan, who also goes by Richard W Regan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 8 firms and has passed the Series 63, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2010 - April 17, 2013
ARCOLA SECURITIES, INC.
June 1, 2009 - March 2, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 12, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
March 5, 2001 - December 5, 2003
FIRST NEW YORK SECURITIES L.L.C.
November 10, 1998 - January 11, 2001
UBS FINANCIAL SERVICES INC.
December 16, 1996 - October 5, 1998
CANTOR FITZGERALD & CO.
August 23, 1996 - November 26, 1996
CANTOR FITZGERALD SECURITIES
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
Series 55
Date: 5/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
ARCOLA SECURITIES, INC.
CRD#: 147952 / SEC#: , 8-67940
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANNALY TRS, INC. | SHAREHOLDER | |
| GRIFFIN, JOHANNA | DIRECTOR | 2008809 |
| HERNANDEZ, MIKE | CFO/FINOP, TREASURER | 3042594 |
| HUNT, JON THOMAS | DIRECTOR, PRESIDENT | 2929809 |
| KOUKOURAS, PANAGIOTI | DIRECTOR | 4694542 |
| MCKIM, JASON DAVID | GENERAL COUNSEL, SECRETARY | 6333143 |
| TRUZZI, ROCHELLE ANN | CHIEF COMPLIANCE OFFICER, AMLCO | 2754706 |
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.
