Edmund Regan, financial advisor Pasadena CA

Edmund Regan

CRD Number: 1263959
Current Firm: Rbc Capital Markets, LLC

Edmund Regan (CRD# 1263959) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Pasadena, CA and has over 39 years of experience in the finance industry.

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Company Name Location Dates Years
City National Bank Pasadena, CA Nov 2016 - Current 7
Rbc Capital Markets, LLC Pasadena, CA Feb 2016 - Current 8
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Feb 2016 1
Morgan Stanley Smith Barney Los Angeles, CA Jun 2009 - Feb 2016 6
Morgan Stanley & Company, Incorporated Los Angeles, CA Apr 2007 - Feb 2016 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1984
S65 NASAA Investment Advisors Law Examination Jan 1995
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Edmund J. Regan
Phone Number: 212-858-7000
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    201,264
    MILLIONS
  • Total Number of Accounts
    451,404
    ACCOUNTS
  • Average Account Value
    $445,862
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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