Charles James Regan

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-04-08
WA	RA	APPROVED	2026-02-06

Branch Locations

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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Salt Lake City	UT	01/2015	11/2016
Wells Fargo Clearing Services, Llc	Salt Lake City	UT	11/2016	08/2017
Morgan Stanley Smith Barney Llc	Kirkland	WA	11/2017	04/2024
Lpl Enterprise, Llc	Fort Mill	SC	09/2024	12/2024
Unemployed	Sammamish	WA	04/2024	09/2024
Unemployed	Draper	UT	08/2017	11/2017
Raymond James Financial Services, Inc.	Sammamish	WA	12/2024	12/2025
Raymond James Financial Services Advisors, Inc.	Sammamish	WA	12/2024	12/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Seattle	WA	01/2026	Present

01/2015 → 11/2016

Wells Fargo Advisors, Llc

Salt Lake City, UT
11/2016 → 08/2017

Wells Fargo Clearing Services, Llc

Salt Lake City, UT
11/2017 → 04/2024

Morgan Stanley Smith Barney Llc

Kirkland, WA
09/2024 → 12/2024

Lpl Enterprise, Llc

Fort Mill, SC
04/2024 → 09/2024

Unemployed

Sammamish, WA
08/2017 → 11/2017

Unemployed

Draper, UT
12/2024 → 12/2025

Raymond James Financial Services, Inc.

Sammamish, WA
12/2024 → 12/2025

Raymond James Financial Services Advisors, Inc.

Sammamish, WA
01/2026 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-09

Nearby Firms