Dawn S. Regan
Professional summary
Dawn Schaffer Regan, who also goes by Dawn Ellen Schaffer, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Boston, Massachusetts.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 1998. Dawn has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn Schaffer Regan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2017 - Present
NUVEEN SECURITIES, LLC
Office #1: 100 Federal Street, Boston, MA 02110July 14, 2014 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
May 1, 2010 - May 27, 2014
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
June 17, 2005 - May 1, 2010
BOFA DISTRIBUTORS, INC.
October 20, 2004 - June 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 2, 2004 - October 20, 2004
QUICK & REILLY, INC.
July 28, 1999 - September 7, 2004
BOFA DISTRIBUTORS, INC.
February 10, 1998 - July 28, 1999
KEYPORT FINANCIAL SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2017)
Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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Company Information
NUVEEN SECURITIES, LLC
CRD#: 469Boston, MA 02110TRUST BUT VERIFY
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