Kevin James Regan

CRD 5709020 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Middletown, NY

IA RegisteredBroker

Also appears in the source record as: Kevin Regan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (35): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Indiana · Kentucky · Maine · Maryland · Massachusetts · Minnesota · Missouri · Nebraska · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington
Years in the industry (source record): 16
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5709020 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Middletown, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Middletown, NY · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney LLC
Albany, NY · IA capacity

Nov 5, 2010 → Aug 19, 2011
Morgan Stanley Smith Barney
Albany, NY · BC capacity

Oct 25, 2010 → Aug 19, 2011
Axa Advisors, LLC
Clifton Park, NY · IA capacity

Jul 29, 2010 → Sep 14, 2010
Axa Advisors, LLC
Clifton Park, NY · BC capacity

Nov 13, 2009 → Sep 14, 2010

Source & corrections

Where this page comes from

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