Michael J. 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.
Michael John Regan, who also goes by Mike Regan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 3 firms and has passed the Series 63, Series 87, Series 86, Series 7TO, SIE, Series 7 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
July 15, 2022 - April 21, 2025
EXCELSIOR EQUITIES
June 8, 2001 - August 26, 2002
DEUTSCHE BANK SECURITIES INC.
September 30, 1999 - April 27, 2001
PERSHING LLC
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 7TO
Date: 7/15/2022
General Securities Representative ExaminationCurrent Firm
EXCELSIOR EQUITIES
CRD#: 309158 / SEC#: , 8-70533
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
