Edmund Joseph Regan

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2016 → Present
  Rbc Capital Markets, Llc
  Pasadena, CA
• 11/2016 → Present
  City National Bank
  Pasadena, CA

Previous Registrations

• 2009-06-01 → 2016-03-07
  Morgan Stanley
  Los Angeles, CA
  Los Angeles, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Los Angeles, CA
• 1999-01-04 → 2007-04-02
  Morgan Stanley Dw Inc.
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

1- GTATE LAKE RESTUARANTS I, LLC OPERATORS OF SMITTY'S RESTAURANT, PASADE. 2- PLEASANT HILL 1 LIMITED PARTNERSHIP OPERATOR OF AN OUTBACK STEAKHOUSE FRANCH. 3- THE ATHENAEUM FUND, L.P. A TECHNOLOGY SEED CAPITAL FUND. 4- THE ATHENAEUM FUND II, L.P. TECHNOLOGY SEED CAPITAL FUND. (5) THOROUGHBRED HORSE RACING OWNERSHIP; ADDRESS: PERSONAL RESIDENCE; BUSINESS DESCRIPTION: THOROUGHBRED HORSE RACING; NOT INVESTMENT RELATED; START DATE: 04/07/2017; CAPACITY: OWNER-PASSIVE; DUTIES: PASSIVE OWNER; HOURS DEVOTED PER WEEK: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (6) HILLSIDES HOME FOR CHILDREN; ADDRESS: 815 COLORADO BLVD, SUITE 300, LOS ANGELES, CA, 90041; NOT FOR PROFIT; BUSINESS DESCRIPTION: GROUP HOME FOR CHILDREN AND COMMUNITY FAMILY OUTREACH; CAPACITY: BOARD OF DIRECTORS; START DATE: 6/14/2018; DUTIES: A MEMBER OF THE BOARD WHICH OVERSEES THE RUNNING AND PLANNING FOR THE ORGANIZATION; HOURS DEVOTE PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (7) BOSTON COURT PASADENA; ADDRESS: 70 N. MENTOR AVENUE, PASADENA, CA 91106; NOT INVESTMENT RELATED: BUSINESS DESCRIPTION: THEATER FOR PLAYS AND MUSICAL PERFORMANCES; CAPACITY: DIRECTOR, BOARD OF DIRECTORS; START DATE: 7/27/2018; DUTIES: OVERSIGHT OF ALL OPERATIONS, FINANCE, AND FUNDRAISING AS PART OF THE BOARD; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-01-23
• S63 Uniform Securities Agent State Law Examination
  1984-06-05

Other Names

• Joe Regan
• Edmund Joseph (Ii) Regan
• Edmund Joseph Regan
• Edmund Joseph Regan Ii