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JR

James W. Regitz

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CRD#: 1283719
JR
James Wynn Regitz JR

Professional summary

Being a previously registered professional could mean that this person 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.

James Wynn Regitz JR, who also goes by Jim Regitz, James W Regotz, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. 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.

Aliases

Jim Regitz | James W Regotz

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 20, 2025 - August 10, 2026

MSEC, LLC

BD
CRD#: 154327
Newport Beach, CA
Past

December 10, 2024 - December 18, 2024

MSEC, LLC

BD
CRD#: 154327
OVERLAND PARK, KS
Past

December 5, 2024 - August 10, 2026

MARINER WEALTH

RIA
CRD#: 140195
Newport Beach, CA
Past

December 19, 2011 - July 20, 2015

NEWPORT WEALTH STRATEGIES, INC.

RIA
CRD#: 159376
NEWPORT BEACH, CA
Past

April 26, 2007 - August 22, 2011

NEWPORT ADVISORY, LLC

RIA
CRD#: 143209
NEWPORT BEACH, CA
Past

March 28, 2005 - December 9, 2024

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
NEWPORT BEACH, CA
Past

May 7, 2001 - November 25, 2003

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

May 17, 2000 - December 31, 2000

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
WEST CHESTER, PA
Past

March 12, 1999 - December 9, 2024

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
NEWPORT BEACH, CA
Past

February 25, 1999 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA
CRD#: 39543
NEWPORT BEACH, CA
Past

June 29, 1995 - March 3, 1999

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

September 12, 1984 - May 19, 1995

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/9/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 10/17/1994
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 9/26/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/17/1994
General Securities Principal Examination

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)
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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
# of Employees

FINRA licenses (52 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 Event1

Red Flags

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Company Information

MSEC, LLC

CRD#: 154327

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