Regina L. Loeks
Professional summary
Regina L Loeks, who also goes by Regina Lynn Loeks, Regina Loeks, Regina Lynn Mcdowall, is a registered financial professional currently at PERSHING LLC located in Jersey City, New Jersey and PERSHING ADVISOR SOLUTIONS LLC located in Jersey City, New Jersey.
Regina is registered as a RR (Registered Representative) and started their career in finance in 2005. Regina has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Regina L Loeks's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2022 - Present
PERSHING LLC
Office #1: One Pershing Plaza - Jersey City Osj, Jersey City, NJ 07399May 25, 2023 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: One Pershing Plaza Pas Jersey City Osj, Jersey City, NJ 07399June 4, 2019 - September 17, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 3, 2018 - June 3, 2019
EMPOWER FINANCIAL SERVICES, INC.
April 1, 2016 - September 26, 2018
CHARLES SCHWAB & CO., INC.
June 13, 2007 - March 9, 2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 15, 2005 - May 25, 2007
BOFA DISTRIBUTORS, INC.
January 25, 2005 - February 4, 2005
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2022)
(6/21/2022)
Exams
FINRA
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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