Russell R. Mohberg

REGATTA CAPITAL GROUP

El Segundo, CA 90245

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CRD#: 4354403

Professional summary

Russell Ralph Mohberg, CFP®, who also goes by Russell R. Mohberg, is a registered financial advisor currently at REGATTA CAPITAL GROUP, LLC located in El Segundo, California.

Russell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Russell has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Russell R. Mohberg

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Ralph Mohberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

January 25, 2008 - Present

REGATTA CAPITAL GROUP, LLC

Office #1: 880 Apollo St. Suite 129, El Segundo, CA 90245

RIA

CRD#: 145363

El Segundo, CA

Past

November 12, 2007 - November 15, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

EL SEGUNDO, CA

Past

May 31, 2006 - November 14, 2007

EDWARD JONES

RIA

CRD#: 250

PACIFIC PALISADES, CA

Past

April 17, 2001 - November 14, 2007

EDWARD JONES

CRD#: 250

PACIFIC PALISADES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

REGATTA CAPITAL GROUP, LLC

REGATTA CAPITAL GROUP, LLC | REGATTA VENTURES MANAGEMENT

CRD#: 145363 / SEC#: 801-68490

RIA

Registered Investment Advisory firm - (11/13/2007 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/25/2008)

IAR

Texas
(11/19/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/2001

General Securities Representative Examination

Current Firm

REGATTA CAPITAL GROUP, LLC

REGATTA CAPITAL GROUP, LLC | REGATTA VENTURES MANAGEMENT

CRD#: 145363 / SEC#: 801-68490

RIA

Registered Investment Advisory firm - (11/13/2007 Approved)

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Contact information

Main Address

880 Apollo St. Suite 129, El Segundo, CA 90245

Mailing Address

Phone number

(310) 725-9102

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

REGATTA CAPITAL GROUP, LLC DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (3/21/2025)

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	Cover Page	Report
11/22/2023	Cover Page	Report
04/24/2023	Cover Page	Report

Red Flags

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.

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Firm Stability Insights

Russell R. Mohberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Ralph Mohberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

REGATTA CAPITAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/2006

Series 63

Date: 4/19/2001

Series 7

Date: 4/16/2001

Current Firm

REGATTA CAPITAL GROUP, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REGATTA CAPITAL GROUP, LLC

TRUST BUT VERIFY

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