Daniel C. 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.
Daniel Carl Regan was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 4 firms and has passed the Series 66, 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
July 9, 2012 - May 29, 2015
ENVESTNET PMC
July 3, 2012 - May 29, 2015
PORTFOLIO BROKERAGE SERVICES, INC.
April 16, 2007 - July 3, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
April 16, 2007 - July 3, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
January 17, 2007 - April 5, 2007
FIFTH THIRD SECURITIES, INC.
January 17, 2007 - April 5, 2007
FIFTH THIRD SECURITIES, INC.
June 4, 2004 - January 16, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
March 19, 2003 - January 16, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
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
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,021,610 |
| AUM (Assets Under Management) | $ 532,197,263,852 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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