AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
JR

James Wynn Regitz Jr

CRD# 1283719·Registered 1984 - 2026
Previously Registered: Being a previously registered professional could mean that James is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

James Wynn Regitz JR, who also goes by Jim Regitz, James W Regotz, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1984 - 2026. James had worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 62, Series 22, Series 6 and Series 24 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jim Regitz, James W Regotz

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

42 years in the financial services industry

Current & Past Employments

MSEC, LLC·CRD# 154327
BD
Newport Beach, CA
February 20, 2025 - August 10, 2026
MSEC, LLC·CRD# 154327
BD
Overland Park, KS
December 10, 2024 - December 18, 2024
MARINER·CRD# 140195
RIA
Newport Beach, CA
December 5, 2024 - August 10, 2026
NEWPORT WEALTH STRATEGIES, INC.·CRD# 159376
RIA
Newport Beach, CA
December 19, 2011 - July 20, 2015
NEWPORT ADVISORY, LLC·CRD# 143209
RIA
Newport Beach, CA
April 26, 2007 - August 22, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.·CRD# 134139
RIA
Newport Beach, CA
March 28, 2005 - December 9, 2024
HIMCO DISTRIBUTION SERVICES COMPANY·CRD# 6604
BD
Hartford, CT
May 7, 2001 - November 25, 2003
SLD AMERICA EQUITIES, INC.·CRD# 36259
BD
West Chester, PA
May 17, 2000 - December 31, 2000
CAMBRIDGE INVESTMENT RESEARCH, INC.·CRD# 39543
BD
Newport Beach, CA
March 12, 1999 - December 9, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.·CRD# 39543
RIA
Newport Beach, CA
February 25, 1999 - March 28, 2005
FSC SECURITIES CORPORATION·CRD# 7461
BD
Atlanta, GA
June 29, 1995 - March 3, 1999
LINCOLN FINANCIAL DISTRIBUTORS, INC.·CRD# 145
BD
Radnor, PA
September 12, 1984 - May 19, 1995

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

ML
MSEC, LLC

MARINER | MSEC, LLC | MONTAGE SECURITIES, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH

CRD#: 154327 / SEC#: 8-68627
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

5700 W 112th Street Suite 500, Overland Park, KS 66211

Mailing Address

5700 W 112th Street Suite 500, Overland Park, KS 66211

Phone Number

(913) 904-5700

Established

Delaware since 05/13/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARINER WEALTH ADVISORS, LLCMEMBER—
DORIAN, ANNE JENELLEPRESIDENT5736231
ERSKINE, ANN TERESACHIEF COMPLIANCE OFFICER5071135
STEIGHNER, KAREN ANNPFO/POO/FINOP1100675

Disclosures

Regulatory Event

1

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 1999About the Series 66 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1998About the Series 7 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Oct 1994

Series 22 — Direct Participation Programs Representative Examination

Passed Sep 1984About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1984About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jan 1994About the Series 24 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
JR
Follow James
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required