Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Regan is a financial professional with over 25 years of experience in the industry. Thomas is currently a registered representative with Raymond James & Associates, Inc., where Thomas has been employed since January 2023. Prior to this, Thomas held positions at BOFA SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, JEFFERIES & COMPANY, INC., BANC OF AMERICA SPECIALIST, INC. and LABRANCHE & CO. LLC. Thomas is a licensed securities professional and has a broad range of experience in the financial services industry.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
FL
01/23/2023 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NY
05/10/2019 - 01/10/2023
BOFA SECURITIES, INC. (NEW YORK NY)
NY
09/07/2012 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/18/2011 - 08/21/2012
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
06/24/2004 - 01/03/2011
BANC OF AMERICA SPECIALIST, INC. (NEW YORK NY)
NY
08/11/1997 - 01/30/2004
LABRANCHE & CO. LLC (NEW YORK NY)
BC
Issued 01/24/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/2007
Series 24 - General Securities Principal Examination
BC
Issued 05/23/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/28/2000
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 11/03/1999
Series 25 - NYSE Trading Assistant Examination
BC
Issued 02/24/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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