James Wynn Regitz

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 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

• 03/1999 → 11/2024
  Cambridge Investment Research, Inc.
  Newport Beach, CA
• 03/2005 → 11/2024
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 12/2024 → Present
  Mariner Wealth Advisors
  Overland Park, KS
• 12/2024 → 12/2024
  Msec, Llc
  Overland Park, KS
• 02/2025 → Present
  Msec, Llc
  Overland Park, KS

Previous Registrations

• 2005-03-28 → 2024-12-09
  Cambridge Investment Research Advisors, Inc.
  Newport Beach, CA
• 2011-12-19 → 2015-07-20
  Newport Wealth Strategies, Inc.
  Irvine, CA
• 2007-04-26 → 2011-08-22
  Newport Advisory, Llc
  Newport Beach, CA
• 1999-02-25 → 2005-03-28
  Cambridge Investment Research, Inc.
  Newport Beach, CA
  San Diego, CA
  Glendale, CA
  Los Angeles, CA
  Palo Alto, CA
  Walnut Creek, CA
  San Diego, CA
  West Des Moines, IA

Other Businesses

1) JIM REGITZ, JR., 4695 MACARTHUR CT, STE 480, NEWPORT BEACH, CA, 02/1999, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10 HR/MO, 10 HR/MO TRADING. 2) Love Motorsports Holding Company Once, LLC; Not investment related, Non managing member, Start date: 1/1/2025, 1 hour per month, 0 hours during trading hours, The entity is primarily being established to provide capital to Jesse Love Racing in return for participation in his sponsorship revenues. 3) WEST COAST STOCK CAR HALL OF FAME, 208 MONTAIR DRIVE, DANVILLE, CA, 06/2021, BOARD MEMBER, NIR, 5 HR/MO, 5 HR/MO TRADING. 4) MARINER WEALTH ADVISORS, 5700 W. 112th St., Suite 500, Overland Park, KS 66211; INVESTMENT RELATED; INVESTMENT ADVISOR REP; 40 HRS/WK DURING SECURITIES HOURS. 5) MSEC LLC; 5700 W. 112th St., Suite 500, Overland Park, KS 66211; INVESTMENT RELATED; REG REP; 40 HRS/WK DURING SECURITIES HOURS 6) The Thunder House, LLC; Not investment related, Newport Beach, CA, Real Estate, Managing Partner, Start date: 8/7/2025, 5 hours per month, 1 hour during trading hours, Receive rent from tenants and pay the utilities and various bills for the maintenance of the property. 7) White Owl Management, LLC; Not investment related, Newport Beach, CA, Holding Company, Managing Member, Start date: 1/30/2025, 10 hours per month, 2 during trading hours, The purpose of this entity primarily remains to facilitate the final payment from asset transfer.

Exams

• S66 Uniform Combined State Law Examination
  1999-02-09

Designations

• Chartered Financial Consultant

Other Names

• Jim Regitz
• James W Regotz