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 was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 6 firms and has passed the Series 1 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
May 24, 1999 - November 15, 2001
PIM FINANCIAL SERVICES, INC.
February 4, 1999 - May 25, 1999
SENTRA SECURITIES CORPORATION
December 5, 1996 - February 2, 1999
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 9, 1987 - December 2, 1996
PIM FINANCIAL SERVICES, INC.
April 9, 1985 - January 21, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
September 22, 1983 - April 22, 1985
LPL FINANCIAL LLC
September 13, 1973 - October 3, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 1
Date: 9/10/1973
Registered Representative ExaminationCurrent Firm
PIM FINANCIAL SERVICES, INC.
CRD#: 10547 / SEC#: 801-72856, 8-27340
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
| Bond | 1 |
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.
