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LM

Lisa A. Margulies

REGATTA CAPITAL GROUP
YORK, PA
Some features on this profile are disabled
CRD#: 4965411
LM

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

Are you a "fiduciary"?
Yes

Aliases

Lisa Margulies | Lisa Ann Shoemaker

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 Lisa Ann Margulies'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®
None

Experience

Current

November 14, 2014 - Present

REGATTA CAPITAL GROUP, LLC

RIA
CRD#: 145363
YORK, PA
Past

October 1, 2012 - November 12, 2014

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
LOS ANGELES, CA
Past

October 1, 2012 - November 12, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

November 29, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
LOS ANGELES, CA
Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
LOS ANGELES, CA
Past

October 19, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
LOS ANGELES, CA
Past

December 2, 2005 - October 20, 2006

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA

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".
RC
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
Pennsylvania
(12/15/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/22/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/8/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/12/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/1/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RC
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
16

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts3,571
AUM (Assets Under Management)$ 1,368,559,741

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/07/2026
Cover Page
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.

Company Information

REGATTA CAPITAL GROUP, LLC

CRD#: 145363York, PA

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