Regan Wall, financial advisor San Diego CA
73 score

Regan Wall

CRD Number: 5428035
Current Firm: Sterling Capital Management LLC

Regan Wall (CRD# 5428035) is an Investment Advisor Representative working at Sterling Capital Management LLC in San Diego, CA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Sterling Capital Distributors, LLC Charlotte, NC May 2014 - Current 2
Sterling Capital Management, LLC Charlotte, NC Apr 2014 - Current 2
Unemployed San Francisco, CA Nov 2013 - Apr 2014 < 1
Guardian Investor Services LLC San Francisco, CA Nov 2009 - Nov 2013 4
Unemployed Houston, TX Jul 2009 - Nov 2009 < 1
Planco Financial Services Wayne, PA Sep 2007 - Jul 2009 1
Synq Solutions Atlanta, GA Jan 2007 - Sep 2007 < 1
Fletcher Martin Advertising Atlanta, GA Feb 2003 - Jan 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2008
S65 NASAA Investment Advisors Law Examination Aug 2014
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Regan M. Wall
Phone Number: 704-927-4175
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    51,155
    MILLIONS
  • Total Number of Accounts
    4,417
    ACCOUNTS
  • Average Account Value
    $11,581,309
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CO, CT, DC, DE, FL, GA, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
73

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