SR
Sean Regan
OCM INVESTMENTS
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 7506972
SR
Professional summary
Sean Regan is a registered financial professional currently at OCM INVESTMENTS, LLC located in Los Angeles, California.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2022. Sean has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Sean Regan's 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®
NoneExperience
Current
April 9, 2022 - Present
OCM INVESTMENTS, LLC
Office #1: 333 South Grand Avenue (28th Floor), Los Angeles, CA 90071BD
CRD#: 128803
Los Angeles, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(6/28/2022)
RR
Alaska(6/28/2022)
RR
Arizona(6/28/2022)
RR
Arkansas(6/28/2022)
RR
California(6/28/2022)
RR
Colorado(6/28/2022)
RR
Connecticut(6/28/2022)
RR
Delaware(6/28/2022)
RR
District of Columbia(6/28/2022)
RR
Florida(6/28/2022)
RR
Georgia(6/28/2022)
RR
Hawaii(6/28/2022)
RR
Idaho(6/28/2022)
RR
Illinois(6/28/2022)
RR
Indiana(6/28/2022)
RR
Iowa(6/28/2022)
RR
Kansas(6/28/2022)
RR
Kentucky(6/28/2022)
RR
Louisiana(6/28/2022)
RR
Maine(6/28/2022)
RR
Maryland(6/28/2022)
RR
Massachusetts(6/28/2022)
RR
Michigan(6/28/2022)
RR
Minnesota(6/28/2022)
RR
Mississippi(6/28/2022)
RR
Missouri(6/28/2022)
RR
Montana(6/28/2022)
RR
Nebraska(6/28/2022)
RR
Nevada(6/28/2022)
RR
New Hampshire(6/28/2022)
RR
New Jersey(6/28/2022)
RR
New Mexico(6/28/2022)
RR
New York(6/28/2022)
RR
North Carolina(6/28/2022)
RR
North Dakota(6/28/2022)
RR
Ohio(6/29/2022)
RR
Oklahoma(6/28/2022)
RR
Oregon(6/28/2022)
RR
Pennsylvania(6/28/2022)
RR
Puerto Rico(6/28/2022)
RR
Rhode Island(6/28/2022)
RR
South Carolina(6/28/2022)
RR
South Dakota(6/28/2022)
RR
Tennessee(6/28/2022)
RR
Texas(6/28/2022)
RR
Utah(6/28/2022)
RR
Vermont(6/28/2022)
RR
Virginia(6/28/2022)
RR
Washington(6/28/2022)
RR
West Virginia(6/28/2022)
RR
Wisconsin(6/28/2022)
RR
Wyoming(6/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OCM INVESTMENTS, LLC
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Mailing Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Phone number
(213) 830-6300
Established
Delaware since 08/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
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.
