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Detailed Report
EDMUND JOSEPH REGAN II
EDMUND JOSEPH (II) REGAN, JOE REGAN, EDMUND JOSEPH REGAN II II
CRD#: 1263959
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 300 N LAKE AVE
SUITE 1010
PASADENA, CA 91101-4136
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - Present (9 years)BMORGAN STANLEY DW INC. (CRD# 7556)1998 - 2007 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 1998 (14 years)IAMORGAN STANLEY (CRD# 7556)1999 - 2007 (8 years)
Disclosure(s)
View By:
6/22/2000
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/16/2024
B
Nevada 3/10/2022
B
Arizona 2/26/2020
B
New Mexico 11/17/2022
B
California 2/19/2016
B
New York 10/24/2017
IA
California 2/19/2016
B
North Carolina 2/19/2016
B
Connecticut 10/10/2023
B
Oklahoma 2/19/2016
B
District of Columbia 2/19/2016
B
Oregon 8/23/2017
B
Florida 9/29/2020
B
Texas 2/19/2016
B
Hawaii 2/19/2016
IA
Texas 2/19/2016
B
Idaho 1/10/2025
B
Virginia 6/7/2022
B
Mississippi 12/8/2022
B
Washington 2/19/2016

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300 N LAKE AVE SUITE 1010, PASADENA, CA 91101-4136
San Marino, CA
Registered with this firm since 2/19/2016
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
300 N LAKE AVE SUITE 1010, PASADENA, CA 91101-4136
San Marino, CA
Registered with this firm since 2/19/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 03/07/2016 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
 06/01/2009 - 03/07/2016 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
IA
 01/04/1999 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LOS ANGELES, CA
B
 12/14/1998 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LOS ANGELES, CA
B
 05/23/1984 - 12/15/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.