Robert M. Regan

REGAN INVESTMENTS

MINNETONKA, MN 55305

Some features on this profile are disabled

CRD#: 4339405

Professional summary

Robert M Regan JR. is a registered financial advisor currently at REGAN INVESTMENTS, INC. located in Minnetonka, Minnesota.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Robert has worked at 2 firms and has passed the Series 65, Series 66 and Series 7 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 M Regan JR.'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: 601 Carlson Parkway Suite 1050, Minnetonka, MN 55305

RIA

CRD#: 121868

MINNETONKA, MN

Past

March 22, 2001 - October 23, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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: 4/13/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/6/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/2001

General Securities Representative 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Ryan Golden

WELLS FARGO CLEARING SERVICES, LLC

IAR

Crystal, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert M. Regan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

REGAN INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2012

Series 66

Date: 4/6/2001

Series 7

Date: 3/21/2001

Current Firm

REGAN INVESTMENTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGAN INVESTMENTS, INC.

TRUST BUT VERIFY

Similar Advisors