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Dawn Schaffer Regan

Nuveen Securities, LLC

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About Dawn Schaffer Regan

Dawn Schaffer Regan is a financial professional with over 20 years of experience in the industry. Dawn is currently registered with Nuveen Securities, LLC and holds a Series 6, 7, 24, 63 and SIE license. Dawn has held previous positions with Columbia Management Investment Distributors, Inc., Teachers Personal Investors Services, Inc., Quick & Reilly, Inc., Keyport Financial Services Corp., and Banc of America Investment Services, Inc. Dawn is dedicated to providing her clients with personalized financial advice and guidance.

Firm Information

Dawn Regan is currently registered with Nuveen Securities, LLC. Nuveen Securities, LLC is a Limited Liability Company formed in September 1967. The firm is registered in 53 states and has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

66

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Dawn Regan’s Registration & Firm History

IL

01/03/2017 - Present

Nuveen Securities, LLC (CHICAGO IL)

NY

07/14/2014 - 12/31/2016

TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)

MA

05/01/2010 - 05/27/2014

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)

MA

06/17/2005 - 05/01/2010

COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)

MA

10/20/2004 - 06/17/2005

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NY

09/02/2004 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

MA

07/28/1999 - 09/07/2004

COLUMBIA FUNDS DISTRIBUTOR, INC. (BOSTON MA)

MA

02/10/1998 - 07/28/1999

KEYPORT FINANCIAL SERVICES CORP. (WELLESLEY HILLS MA)

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Licenses & Designations

BC

Issued 08/17/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/20/2011

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/27/2006

Series 7 - General Securities Representative Examination

BC

Issued 02/09/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dawn Schaffer Regan.
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