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Joseph Paul Regan
Joseph Regan
CRD#: 6970756
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
Registration History
201820192020202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2018 - Present (6 years)
License(s)

State Registrations

B
Alabama 1/24/2024

B
Nebraska 1/24/2024

B
Alaska 1/9/2019

B
Nevada 1/9/2019

B
Arizona 1/9/2019

B
New Hampshire 1/9/2019

B
Arkansas 1/9/2019

B
New Jersey 1/9/2019

B
California 1/9/2019

B
New Mexico 1/9/2019

IA
California 1/9/2019

B
New York 1/9/2019

B
Colorado 1/9/2019

IA
New York 4/19/2021

B
Connecticut 1/9/2019

B
North Carolina 1/9/2019

IA
Connecticut 2/4/2019

B
North Dakota 1/24/2024

B
Delaware 1/9/2019

B
Ohio 1/10/2019

B
District of Columbia 1/9/2019

B
Oklahoma 1/9/2019

B
Florida 1/9/2019

B
Oregon 1/9/2019

B
Georgia 1/9/2019

B
Pennsylvania 1/9/2019

B
Hawaii 1/9/2019

B
Puerto Rico 1/9/2019

B
Idaho 1/9/2019

B
Rhode Island 1/9/2019

B
Illinois 1/9/2019

B
South Carolina 1/9/2019

B
Indiana 1/9/2019

B
South Dakota 1/9/2019

B
Iowa 1/9/2019

B
Tennessee 1/9/2019

B
Kansas 1/9/2019

B
Texas 1/9/2019

B
Kentucky 1/9/2019

IA
Texas 1/9/2019

B
Louisiana 1/9/2019

B
Utah 1/9/2019

B
Maine 1/24/2024

B
Vermont 1/9/2019

B
Maryland 1/9/2019

B
Virgin Islands 1/24/2024

B
Massachusetts 1/9/2019

B
Virginia 1/9/2019

B
Michigan 1/9/2019

B
Washington 1/9/2019

B
Minnesota 1/9/2019

B
West Virginia 1/24/2024

B
Mississippi 1/24/2024

B
Wisconsin 1/9/2019

B
Missouri 1/9/2019

B
Wyoming 1/9/2019

B
Montana 1/9/2019

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

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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)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
ONE BRYANT PARK PBIG - NY MIDTOWN, NEW YORK, NY 10036
Registered with this firm since 1/9/2019

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
ONE BRYANT PARK PBIG - NY MIDTOWN, NEW YORK, NY 10036
Registered with this firm since 11/27/2018

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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.