Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian O'Regan is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Charlotte, North Carolina. Brian has been in the securities industry since September 14, 1997. Brian has passed the Series 63, 65, 7 and 24 exams. Brian has been registered in 29 states as a broker and in 2 states as an investment advisor representative. Brian has worked at BANC OF AMERICA INVESTMENT SERVICES, INC., Stephens Inc. and RM STARK & CO INC. in the past. Brian has held registrations in Alabama, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Maryland, Massachusetts, Michigan, Montana, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
06/25/2001 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GASTONIA NC)
AR
05/18/2000 - 07/10/2001
STEPHENS INC. (LITTLE ROCK AR)
MA
06/30/1998 - 05/17/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
FL
09/15/1997 - 06/30/1998
RM STARK & CO INC. (LAKE WORTH BEACH FL)
IA
Issued 05/04/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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