John B. 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.
John Benjamin Regan III was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
September 29, 2014 - September 3, 2019
SEAPORT GLOBAL SECURITIES LLC
September 1, 2010 - September 29, 2014
GLOBAL HUNTER SECURITIES, LLC
February 22, 2008 - September 14, 2009
INTL ADVISORY CONSULTANTS INC.
February 20, 2008 - August 31, 2010
STERNE, AGEE & LEACH, INC.
February 1, 2007 - February 13, 2008
CRAIG-HALLUM CAPITAL GROUP LLC
March 18, 2005 - February 7, 2007
INTL ADVISORY CONSULTANTS INC.
April 28, 2003 - January 31, 2007
STERNE, AGEE & LEACH, INC.
July 12, 1999 - April 17, 2003
CAPITAL ONE SECURITIES, INC.
July 7, 1998 - June 28, 1999
RBC CAPITAL MARKETS, 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
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
