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CB

Chloe L. Barnett

REGATTA CAPITAL GROUP
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 7209364
CB

Professional summary

Chloe Lee Barnett, CFP® is a registered financial advisor currently at REGATTA CAPITAL GROUP, LLC located in El Segundo, California.

Chloe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Chloe has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Chloe Lee Barnett'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

Experience

Current

December 7, 2021 - Present

REGATTA CAPITAL GROUP, LLC

Office #1: 880 Apollo St. Suite 129, El Segundo, CA 90245
RIA
CRD#: 145363
El Segundo, CA
Past

September 23, 2020 - November 3, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
IRVINE, CA
Past

May 20, 2020 - October 29, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
IRVINE, 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".
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
California
(12/7/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/1/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/19/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/3/2020
Securities Industry Essentials 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)
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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
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
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#: 145363El Segundo, CA 90245

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