Best Investors Account Sign in
Inactive

Lisa Ann Margulies

Regatta Capital Group, LLC

El Segundo, CA

York, PA

Claim This Profile
Current Employers
Regatta Capital Group, Llc

880 Apollo St. Suite 129, El Segundo, CA 90245 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-12-15
  • PA RA
    APPROVED
    Since 2022-12-15

Branch Locations

880 Apollo St. Suite 129, El Segundo, CA 90245 • United States

York, PA • 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
OrganizationCityStateFromTo
Rental Properties Los Angeles CA 04/2005 Present
Regatta Capital Group Llc Glen Rock PA 11/2014 Present
Previous Registrations
  • 2012-10-01 → 2014-11-12
    J.P. Morgan Securities Llc
    Los Angeles, CA
    Los Angeles, CA
  • 2010-11-29 → 2012-10-01
    Chase Investment Services Corp.
    Los Angeles, CA
    Los Angeles, CA
Other Businesses

1. LOS ANGELES, CA 90403 RENTAL PROPERTIES- LANDLORD A PROPERTY MANAGER HANDLES THE DAY TO DAY ACTIVITIES. IT IS NOT AN INVESTMENT RELATED BUSINESS. 0% BUSINESS HOURS SPENT ON AVERAGE. 2. AUTHORING BOOKS DUE TO BE PUBLISHED IN 2015. NOT INVESTMENT RELATED. ZERO SECURITIES TRADING HOURS TO BE USED ON THIS ACTIVITY.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-11-22
S63 Uniform Securities Agent State Law Examination 2005-12-08
  • S65 Uniform Investment Adviser Law Examination
    2010-11-22
  • S63 Uniform Securities Agent State Law Examination
    2005-12-08
Other Names
  • Lisa Ann Shoemaker
  • Lisa Margulies

View on SEC IAPD

Other Firms

MORGAN STANLEY
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SOLACE CAPITAL PARTNERS, L.P.
STRANDVIEW CAPITAL, LLC
UBS FINANCIAL SERVICES INC.
LPL FINANCIAL LLC
EDWARD JONES

Other Investors

JAN YVONNE MILLER
LIGAYA JUNG GUDERIAN
MICHAEL J HATCH
MICHAEL DEAN RUDKIN
Laura Jarris Martin
MICHAEL ALLEN WILHITE
JAMES ROBERT MANION
RISHI D MANGAL

Other Offices

MORGAN STANLEY · El Segundo, CA
WELLS FARGO CLEARING SERVICES, LLC · EL SEGUNDO, CA
WELLS FARGO CLEARING SERVICES, LLC · EL SEGUNDO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · EL SEGUNDO, CA
SOLACE CAPITAL PARTNERS, L.P. · EL SEGUNDO, CA
STRANDVIEW CAPITAL, LLC · EL SEGUNDO, CA
UBS FINANCIAL SERVICES INC. · El Segundo, CA
UBS FINANCIAL SERVICES INC. · El Segunda, CA

More in El Segundo, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor