Michael A. Cavanaugh

REGIMENT SECURITIES.

Chicago, IL 60611

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CRD#: 4794844

Professional summary

Michael Alan Cavanaugh is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Michael Alan Cavanaugh's CRS (Customer Relationship Summary).

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

July 16, 2021 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611

CRD#: 311302

Chicago, IL

Past

April 27, 2021 - July 26, 2021

EASTGATE SECURITIES, LLC

CRD#: 146671

NEW YORK, NY

Past

September 26, 2012 - February 28, 2013

RCM SECURITIES

CRD#: 15548

CHICAGO, IL

Past

September 24, 2010 - February 24, 2012

OPTIONSXPRESS, INC.

CRD#: 103849

CHICAGO, IL

Past

May 13, 2010 - August 6, 2020

RCM WEALTH ADVISORS

RIA

CRD#: 153641

CHICAGO, IL

Past

February 22, 2007 - May 18, 2010

BROKERSXPRESS LLC

RIA

CRD#: 127081

CHICAGO, IL

Past

July 13, 2004 - September 5, 2012

BROKERSXPRESS LLC

CRD#: 127081

CHICAGO, IL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/7/2025)

California
(5/7/2025)

Colorado
(5/7/2025)

Florida
(10/19/2021)

Illinois
(10/8/2021)

Massachusetts
(5/7/2025)

Minnesota
(5/7/2025)

Missouri
(5/7/2025)

New Jersey
(5/7/2025)

New Mexico
(5/23/2025)

New York
(5/7/2025)

South Carolina
(7/30/2025)

Texas
(1/28/2022)

Utah
(5/7/2025)

Virginia
(5/7/2025)

Washington
(5/7/2025)

Wisconsin
(1/2/2024)

Exams

State Security Law Exam

Series 63

Date: 3/16/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/3/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/29/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/6/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/25/2009

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

420 N. Wabash Avenue, Chicago, IL 60611

Mailing Address

420 N. Wabash Avenue 430, Chicago, IL 60611

Phone number

(773) 480-7561

Established

Delaware since 09/21/2020

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGIMENT, LLC.	MEMBER
BURNHAM, STEPHEN TYLER	SHAREHOLDER/PRINCIPAL	4663613
D&A CAPITAL PARTNERS LLC	MEMBER
CAVANAUGH, MICHAEL ALAN	CEO/CCO	4794844
JONES, SHARON DOSTER	FINOP/PFO/POO	3124470

Red Flags

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

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Michael A. Cavanaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Alan Cavanaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

EASTGATE SECURITIES, LLC

RCM SECURITIES

OPTIONSXPRESS, INC.

RCM WEALTH ADVISORS

BROKERSXPRESS LLC

BROKERSXPRESS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2021

Series 65

Date: 2/3/2007

Series 7

Date: 5/29/2004

Series 24

Date: 1/6/2025

Series 4

Date: 3/25/2009

FINRA

Current Firm

REGIMENT SECURITIES, LLC.

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REGIMENT SECURITIES, LLC.

TRUST BUT VERIFY

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