Robert M. Regan

REGAN INVESTMENTS

Minneapolis, MN 55416

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CRD#: 372976

Professional summary

Robert Morgan Regan is a registered financial advisor currently at REGAN INVESTMENTS, INC. located in Minneapolis, Minnesota.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Robert has worked at 4 firms and has passed the Series 65, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Morgan 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®

None

Experience

Current

March 27, 2018 - Present

REGAN INVESTMENTS, INC.

Office #1: 1600 Utica Avenue South Suite 460, Minneapolis, MN 55416

RIA

CRD#: 121868

Minneapolis, MN

Past

December 1, 1982 - September 12, 1983

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

Past

February 25, 1976 - May 9, 1983

CHARLTON INVESTMENT SERVICES CORPORATION

CRD#: 6749

Past

May 10, 1973 - February 25, 1976

REGAN-MELAMED & CO INCORPORATED

CRD#: 1000003

Past

March 7, 1967 - September 20, 1974

CHARLTON INVESTMENT SERVICES CORPORATION

CRD#: 6749

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(3/27/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/11/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 1

Date: 4/14/1961

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 2/28/1967

General Securities Principal Examination

Current Firm

REGAN INVESTMENTS, INC.

REGAN INVESTMENT ADVISORS, INC. | REGAN INVESTMENTS, INC.

CRD#: 121868 / SEC#: 801-70012

RIA

Registered Investment Advisory firm - (7/27/2012 Terminated)

Minnesota

Registered Investment Advisory firm - (9/30/2002 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

601 Carlson Parkway Suite 1050, Minnetonka, MN 55305

Mailing Address

Phone number

(952) 473-1080

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	180
AUM (Assets Under Management)	$ 54,983,666

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert M. Regan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Morgan Regan's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGAN INVESTMENTS, INC.

ENTERPRISE FUND DISTRIBUTORS, INC.

CHARLTON INVESTMENT SERVICES CORPORATION

REGAN-MELAMED & CO INCORPORATED

CHARLTON INVESTMENT SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2002

Series 1

Date: 4/14/1961

Series 00

Date: 2/28/1967

Current Firm

REGAN INVESTMENTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGAN INVESTMENTS, INC.

TRUST BUT VERIFY

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