Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Regan is a financial professional with over 23 years of experience in the financial services industry. Patricia is currently registered with Marex Capital Markets Inc. as a broker. Prior to her current role, Patricia was previously registered with Cowen and Company, Cowen Prime Services LLC, Cowen Prime Services Trading LLC, National Financial Services LLC, Banc of America Securities LLC, and Donaldson, Lufkin & Jenrette Securities Corporation. Patricia holds a Series 7, Series 55, Series 57TO, and SIE license. She is also registered as a broker in California, Massachusetts, New York, and Washington. Patricia has a strong background in securities trading and is committed to providing her clients with the highest level of service.
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.
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.
1
2
CA
12/01/2023 - Present
Marex Capital Markets Inc. (SAN FRANCISCO CA)
CA
08/26/2021 - 12/12/2023
COWEN AND COMPANY (San Francisco CA)
CA
01/29/2016 - 01/04/2022
COWEN PRIME SERVICES LLC (SAN FRANCISCO CA)
CA
08/09/2013 - 06/15/2016
COWEN PRIME SERVICES TRADING LLC (San Francisco CA)
CA
07/30/2009 - 11/08/2012
NATIONAL FINANCIAL SERVICES LLC (SAN FRANCISCO CA)
CA
10/30/2000 - 04/03/2009
BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)
NJ
05/14/1998 - 01/04/2001
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 01/27/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/05/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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