Edmund Regan, financial advisor Pasadena CA
83 score

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 32 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Pasadena, CA Feb 2016 - Current < 1
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
Dean Witter Reynolds Inc. Los Angeles, CA Dec 1998 - Apr 2007 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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Edmund J. Regan
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • 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, MA, 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

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BADGES
83

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