Lisa A. Margulies
Professional summary
Lisa Ann Margulies, who also goes by Lisa Margulies, Lisa Ann Shoemaker, is a registered financial advisor currently at REGATTA CAPITAL GROUP, LLC located in York, Pennsylvania.
Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Lisa has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann Margulies's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2014 - Present
REGATTA CAPITAL GROUP, LLC
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
November 29, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 19, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
December 2, 2005 - October 20, 2006
WORLD GROUP SECURITIES, INC.
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
(12/15/2022)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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