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KEVIN JAMES REGAN
KEVIN REGAN
CRD#: 5709020
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 90 CRYSTAL RUN RD
MIDDLETOWN, NY 10941
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - Present (13 years)BAXA ADVISORS, LLC (CRD# 6627)2009 - 2010 (<1 year)IAAXA ADVISORS, LLC (CRD# 6627)2010 - 2010 (<1 year)
Disclosure(s)
View By:
11/1/2001
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 3/5/2013

B
New Jersey 8/17/2011

B
Arkansas 1/8/2025

B
New Mexico 1/5/2024

B
California 2/15/2013

B
New York 8/17/2011

B
Colorado 2/20/2013

IA
New York 4/19/2021

B
Connecticut 8/17/2011

B
North Carolina 11/20/2012

IA
Connecticut 8/17/2011

B
Ohio 2/19/2013

B
Delaware 2/27/2013

B
Oklahoma 2/22/2013

B
District of Columbia 2/20/2013

B
Oregon 1/8/2013

B
Florida 2/19/2013

B
Pennsylvania 2/20/2013

B
Georgia 1/15/2025

B
Rhode Island 1/15/2025

B
Idaho 2/8/2023

B
South Carolina 2/19/2013

B
Indiana 2/22/2013

B
Tennessee 2/21/2013

B
Maine 1/15/2025

B
Texas 3/4/2013

B
Maryland 2/19/2013

IA
Texas 3/22/2013

B
Massachusetts 5/1/2013

B
Utah 1/15/2025

B
Minnesota 1/15/2025

B
Vermont 2/25/2013

B
Missouri 1/15/2025

B
Virginia 2/19/2013

B
Nebraska 1/5/2015

B
Washington 2/2/2017

B
New Hampshire 2/20/2013

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
90 CRYSTAL RUN RD, MIDDLETOWN, NY 10941
Registered with this firm since 8/17/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
90 CRYSTAL RUN RD, MIDDLETOWN, NY 10941
Registered with this firm since 8/17/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/05/2010 - 08/19/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) ALBANY, NY
B
10/25/2010 - 08/19/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ALBANY, NY
IA
07/29/2010 - 09/14/2010 AXA ADVISORS, LLC (CRD#:6627) CLIFTON PARK, NY
B
11/13/2009 - 09/14/2010 AXA ADVISORS, LLC (CRD#:6627) CLIFTON PARK, NY
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B
Broker
IA
Investment Adviser
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.