JR
John J. Regan
MESIROW FINANCIAL
NEW YORK, NY 10017
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CRD#: 2922191
JR
Professional summary
John James Regan is a registered financial professional currently at MESIROW FINANCIAL, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view John James 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®
NoneExperience
Current
April 7, 2025 - Present
MESIROW FINANCIAL, INC.
Office #1: 140 East 45 Street Suite 31(b), New York, NY 10017BD
CRD#: 2764
NEW YORK, NY
Past
June 22, 2017 - April 3, 2025
LPS CAPITAL LLC
BD
CRD#: 155246
NEW YORK, NY
Past
March 3, 2008 - August 20, 2015
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
April 21, 2003 - February 19, 2008
WAMU CAPITAL CORP.
BD
CRD#: 119069
NEW YORK, NY
Past
July 20, 1999 - April 7, 2003
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
September 3, 1997 - July 6, 1999
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/7/2025)
RR
Alaska(4/7/2025)
RR
Arizona(4/7/2025)
RR
Arkansas(4/7/2025)
RR
California(4/7/2025)
RR
Colorado(4/7/2025)
RR
Connecticut(4/7/2025)
RR
Delaware(4/7/2025)
RR
Florida(4/7/2025)
RR
Georgia(4/7/2025)
RR
Hawaii(4/7/2025)
RR
Idaho(4/7/2025)
RR
Illinois(4/7/2025)
RR
Indiana(4/7/2025)
RR
Iowa(4/7/2025)
RR
Kansas(4/7/2025)
RR
Kentucky(4/7/2025)
RR
Louisiana(4/7/2025)
RR
Maine(4/7/2025)
RR
Maryland(4/7/2025)
RR
Massachusetts(4/7/2025)
RR
Michigan(4/7/2025)
RR
Minnesota(4/7/2025)
RR
Mississippi(4/7/2025)
RR
Missouri(4/7/2025)
RR
Montana(4/7/2025)
RR
Nebraska(4/7/2025)
RR
Nevada(4/7/2025)
RR
New Hampshire(4/7/2025)
RR
New Jersey(4/7/2025)
RR
New Mexico(4/7/2025)
RR
New York(4/7/2025)
RR
North Carolina(4/7/2025)
RR
North Dakota(4/7/2025)
RR
Ohio(4/8/2025)
RR
Oklahoma(4/7/2025)
RR
Oregon(4/7/2025)
RR
Pennsylvania(4/7/2025)
RR
Rhode Island(4/7/2025)
RR
South Carolina(4/7/2025)
RR
South Dakota(4/7/2025)
RR
Tennessee(4/7/2025)
RR
Texas(4/7/2025)
RR
Utah(4/7/2025)
RR
Vermont(4/7/2025)
RR
Virginia(4/7/2025)
RR
Washington(4/7/2025)
RR
West Virginia(4/7/2025)
RR
Wisconsin(4/7/2025)
RR
Wyoming(4/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MF
MESIROW FINANCIAL, INC.
MESIROW & COMPANY | PEMBROKE CLEARING CORPORATION | MESIROW FINANCIAL, INC. | MESIROW CAPITAL, INC. | MESIROW & COMPANY, INCORPORATED
CRD#: 2764 / SEC#: , 8-28816
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
353 N. Clark Street, Chicago, IL 60654
Mailing Address
353 N. Clark Street, Chicago, IL 60654
Phone number
(312) 595-6000
Established
Delaware since 10/12/1982
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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.
