Charles James Regan
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
11 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2026 to now
- Raymond James Financial Services Advisors, Inc.Dec 2024 to Dec 2025
- Raymond James Financial Services, Inc.Dec 2024 to Dec 2025
- LPL Enterprise, LLCSep 2024 to Dec 2024
- UnemployedApr 2024 to Sep 2024
- Morgan Stanley Smith Barney LLCNov 2017 to Apr 2024
- UnemployedAug 2017 to Nov 2017
- Wells Fargo Clearing Services, LLCNov 2016 to Aug 2017
- Wells Fargo Advisors, LLCJan 2015 to Nov 2016
Exams passed
- Series 66 · Uniform Combined State Law2009
State registrations
Registered as an investment adviser representative in 2 states (TX, WA).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5726240
- Firm CRD
- 7691