Joseph D. Regan
Professional summary
Joseph David Regan, who also goes by Joe Regan, Joseph Regan, is a registered financial professional currently at PERFORMANCE TRUST CAPITAL PARTNERS, LLC located in Prosper, Texas.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2015. Joseph has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 62, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph David Regan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2024 - Present
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
January 3, 2020 - June 18, 2024
PIPER SANDLER & CO.
March 24, 2017 - January 3, 2020
SANDLER, O'NEILL & PARTNERS, L.P.
July 13, 2015 - March 13, 2017
B. RILEY SECURITIES, 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
(8/29/2024)
(7/9/2025)
(11/4/2024)
(8/29/2024)
(7/9/2025)
Exams
Series 7TO
Date: 11/25/2024
General Securities Representative ExaminationSeries 62
Date: 5/12/2017
Corporate Securities Limited Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
CRD#: 36155 / SEC#: 801-72427, 8-47035
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BERG, RICHARD SCOTT | BOARD MEMBER | 1077170 |
| BROWN, ERIC PAUL | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | 4213450 |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DOCHERTY, JENNIFER ANN | CORPORATE SECRETARY | 4587223 |
| DONOVAN, TRACI | GENERAL COUNSEL | 5694928 |
| GAZDA, RYAN M | CHIEF FINANCIAL OFFICER | 4230980 |
| GRAHAM, RICHARD WARWICK JR | PARTNER AND MANAGING DIRECTOR, BOARD MEMBER | 5836195 |
| JOHNSON, CRAIG STEPHEN | MANAGING DIRECTOR - TRADE DESK | 2339510 |
| JOHNSON, ZACHARY ROBERT | BOARD MEMBER | 5192352 |
| LEIBFRIED, BRIAN KEITH | MANAGING DIRECTOR, BOARD MEMBER | 4438951 |
| LOVE, KRISTIN M | CCO & COO | 4370951 |
| SALUTRIC, DAVID RAYMOND | HEAD OF CIA | 6146435 |
| SHAH, CHIRAG | CEO AND PRESIDENT / BOARD MEMBER | 4838599 |
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 301,689,867 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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