John S. Mccormick
Professional summary
John Stephen Mccormick, CFP® is a registered financial advisor currently at REGATTA CAPITAL GROUP, LLC located in El Segundo, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Stephen Mccormick's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
November 28, 2022 - Present
REGATTA CAPITAL GROUP, LLC
Office #1: 880 Apollo St. Suite 129, El Segundo, CA 90245June 24, 2022 - November 22, 2022
EP WEALTH ADVISORS
January 27, 2016 - February 13, 2018
NATIONAL PLANNING CORPORATION
September 2, 2014 - February 13, 2018
NATIONAL PLANNING CORPORATION
May 19, 1999 - November 26, 2003
MCCORMICK CAPITAL MANAGEMENT
Primary Firm SEC Registration
REGATTA CAPITAL GROUP, LLC
CRD#: 145363 / SEC#: 801-68490
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/28/2022)
Exams
Current Firm
REGATTA CAPITAL GROUP, LLC
CRD#: 145363 / SEC#: 801-68490
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,571 |
| AUM (Assets Under Management) | $ 1,368,559,741 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/01/2024 | ||
| 11/22/2023 | ||
| 04/24/2023 |
Red Flags
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