Stephen Edmund Regan

Current Employers

Knights Of Columbus Asset Advisors Llc

One Columbus Plaza, New Haven, CT 06510 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2026-04-24
DC	RA	APPROVED	2024-09-05
MD	RA	APPROVED	2024-07-08
VA	RA	APPROVED	2024-07-08
TN	RA	APPROVED	2021-06-03

GA RA
APPROVED

Since 2026-04-24
DC RA
APPROVED

Since 2024-09-05
MD RA
APPROVED

Since 2024-07-08
VA RA
APPROVED

Since 2024-07-08
TN RA
APPROVED

Since 2021-06-03

Branch Locations

White Plains, MD • United States

One Columbus Plaza, New Haven, CT 06510 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Knights Of Columbus	New Haven	CT	02/2016	Present
National Life Group	Montpelier	VT	10/2014	10/2016
Knights Of Columbus Asset Advisors Llc	New Haven	CT	05/2021	Present

02/2016 → Present

Knights Of Columbus

New Haven, CT
10/2014 → 10/2016

National Life Group

Montpelier, VT
05/2021 → Present

Knights Of Columbus Asset Advisors Llc

New Haven, CT

Other Businesses

Knights of Columbus Insurance, not investment-related, New Haven, CT, life insurance sales, Field Agent, 2009-2014 & 2016-present, 160 hours per month, 100 hours during securities trading hours. Life insurnance agent for Knights of Columbus Insurance.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-06-03
S63	Uniform Securities Agent State Law Examination	1997-06-19

S65 Uniform Investment Adviser Law Examination

2021-06-03
S63 Uniform Securities Agent State Law Examination

1997-06-19