Michael J. Regan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael John Regan III, who also goes by Michael John Regan, Mike Regan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 1985 - March 3, 1987
MARSHALL DAVIS, INC.
August 30, 1984 - June 27, 1985
NIELSON AND CLARK INC.
August 31, 1983 - August 10, 1984
WALFORD, DEMARET & CO., INC.
April 25, 1980 - August 22, 1983
FIRST COLORADO INVESTMENTS & 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
Exams
Current Firm
MARSHALL DAVIS, INC.
CRD#: 16278 / SEC#: , 8-33619
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
