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John-paul Robert Kaczor

John-paul R. Kaczor

Some features on this profile are disabled
CRD#: 7433956
John-paul Robert Kaczor

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John-paul Robert Kaczor, who also goes by Jp Robert Kaczor, was a registered financial professional .

John-paul is a previously registered financial professional and started their career in finance in 2021. John-paul had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Biography

As a Planning Consultant, my goal is to aid and empower clients to work towards and maintain financial peace of mind.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jp Robert Kaczor

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

Loyola Marymount University

Bachelor of Economics - Liberal Arts

2017

Experience

Past

March 22, 2024 - January 2, 2025

REGATTA CAPITAL GROUP, LLC

RIA
CRD#: 145363
EL SEGUNDO, CA
Past

August 8, 2022 - April 5, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
EL SEGUNDO, CA
Past

June 1, 2022 - April 5, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
EL SEGUNDO, CA
Past

January 19, 2022 - March 21, 2022

FIRST COMMAND ADVISORY SERVICES

RIA
CRD#: 281958
Garden Grove, CA
Past

December 10, 2021 - March 21, 2022

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
Garden Grove, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/12/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/29/2021
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

Planning ConsultantCRD#: 145363

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