Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Margulies is an investment advisor representative at Regatta Capital Group, LLC, and is registered with the state of Pennsylvania. Lisa has over 14 years of experience in the financial services industry. Previously, Lisa worked at J.P. Morgan Securities LLC, Chase Investment Services Corp. and WAMU Investments, Inc. Lisa holds Series 6, 7, 63 and 65 licenses. Lisa is a member of the Regatta Capital Group, LLC team in El Segundo, CA and provides portfolio management for individuals, businesses, pooled investment vehicles and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Coaching services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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CA
12/15/2022 - Present
Regatta Capital Group, LLC (EL SEGUNDO CA)
CA
10/01/2012 - 11/12/2014
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (LOS ANGELES CA)
CA
10/19/2006 - 05/02/2009
WAMU INVESTMENTS, INC. (LOS ANGELES CA)
GA
12/02/2005 - 10/20/2006
WORLD GROUP SECURITIES, INC. (DULUTH GA)
IA
Issued 11/22/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2014
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2010
Series 7 - General Securities Representative Examination
BC
Issued 12/01/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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