Michael Alan Cavanaugh
Professional Summary
Michael Alan Cavanaugh is a registered financial advisor currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois. Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 6 firms and has passed the Series 63, Series 65, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
REGIMENT SECURITIES, LLC.
Contact Information
Main Address
420 N. Wabash Avenue, Chicago, IL 60611Mailing Address
420 N. Wabash Avenue 430, Chicago, IL 60611Phone Number
(773) 480-7561Established
Delaware since 09/21/2020Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(5/7/2025)
(5/7/2025)
(5/7/2025)
(10/19/2021)
(10/8/2021)
(5/7/2025)
(5/7/2025)
(6/23/2026)
(5/7/2025)
(5/7/2025)
(5/23/2025)
(5/7/2025)
(7/30/2025)
(1/28/2022)
(5/7/2025)
(5/7/2025)
(5/7/2025)
(1/2/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Alan Cavanaugh's CRS (Customer Relationship Summary).
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