Douglas A. Regan
Professional summary
Douglas Andrew Regan Jr., who also goes by Douglas Regan, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2018. Douglas has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Andrew Regan Jr.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022November 9, 2021 - September 17, 2024
FRED ALGER & COMPANY, LLC
August 24, 2018 - October 27, 2021
EQUITABLE DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/30/2024)
(9/30/2024)
Exams
Series 7TO
Date: 6/30/2021
General Securities Representative ExaminationFINRA
Current Firm
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
Red Flags
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