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EL

Edward Robert Lainfiesta

ROTH CAPITAL PARTNERS

NEWPORT BEACH, CA

·CRD# 1139496·37 years experience

Professional Summary

Edward Robert Lainfiesta, who also goes by Edward Lain, is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California. Edward is registered as a RR (Registered Representative) and started their career in finance in 1983. Edward has worked at 11 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Edward Lain

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

ROTH CAPITAL PARTNERS, LLC·CRD# 15407

RIA

BD

1. 888 San Clemente Suite 400, Newport Beach, CA 926602. 452 Fifth Ave. 23rd Floor, New York, NY 100183. 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660

November 18, 2019 - Present

SEAPORT GLOBAL SECURITIES LLC·CRD# 116270

BD

Costa Mesa, CA

October 2, 2014 - November 8, 2019

GHS TRADING LLC·CRD# 158195

BD

Costa Mesa, CA

October 2, 2012 - December 11, 2017

GLOBAL HUNTER SECURITIES, LLC·CRD# 123003

BD

Costa Mesa, CA

May 30, 2007 - July 6, 2015

ROTH CAPITAL PARTNERS, LLC·CRD# 15407

BD

Newport Beach, CA

May 17, 2001 - February 28, 2007

E*OFFERING·CRD# 36717

BD

San Francisco, CA

April 23, 1999 - May 5, 2000

B. RILEY SECURITIES, INC.·CRD# 25027

BD

Arlington, VA

April 14, 1997 - March 1, 1999

ROTH CAPITAL PARTNERS, LLC·CRD# 15407

BD

Newport Beach, CA

May 18, 1995 - April 4, 1997

UBS FINANCIAL SERVICES INC.·CRD# 8174

BD

Weehawken, NJ

November 30, 1994 - March 31, 1995

INTERFIRST CAPITAL CORPORATION·CRD# 7659

BD

Los Angeles, CA

October 21, 1994 - November 10, 1994

HAMBRECHT & QUIST LLC·CRD# 940

BD

March 16, 1988 - January 20, 1989

LEHMAN BROTHERS INC.·CRD# 7506

BD

November 6, 1984 - March 15, 1988

E. F. HUTTON & COMPANY INC·CRD# 235

BD

June 22, 1983 - November 5, 1984

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Current Firm

RC

ROTH CAPITAL PARTNERS, LLC

CDB SECURITIES, INC. | ROTH CAPITAL PARTNERS, LLC | ROTH CAPITAL PARTNERS, INC. | CRUTTENDEN ROTH INCORPORATED | CRUTTENDEN & COMPANY | CRUTTENDEN & CO., INC.

CRD#: 15407 / SEC#: 8-32129

California

Registered Investment Advisory firm - SEC (5/7/2001 Approved)

Florida

Registered Investment Advisory firm - SEC (6/28/2024 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Contact Information

Main Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Mailing Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Phone Number

(949) 720-5700

Established

California since 01/10/2001

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Medium

# of Employees

10

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CR FINANCIAL HOLDINGS, INC.	MEMBER	—
AKDENIZ, NAZAN	COO	2522215
GUREWITZ, AARON MICHAEL	CO-CHIEF EXECUTIVE OFFICER	2244273
LAMARCHE, KRISTIN DIANE	CHIEF COMPLIANCE OFFICER	2582393
MORK, JONATHAN ANDREW	MANAGER	4349125
PANAGIOTIDIS, ALEX	ROSFP	4582559
PLATT, RICHARD L	GENERAL COUNSEL	2059118
ROTH, BYRON CLARENCE	CHAIRMAN/MANAGER	1768553
ROTH, GORDON JAMES	CHIEF FINANCIAL OFFICER/FINOP/MANAGER	3167226
ROTH, THEODORE DAVID	VICE CHAIRMAN	4615931

Disclosures

Regulatory Event

16

Arbitration

12

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/18/2019)

RR

Alaska
(11/18/2019)

RR

Arizona
(11/18/2019)

RR

Arkansas
(11/18/2019)

RR

California
(11/18/2019)

RR

Colorado
(11/18/2019)

RR

Connecticut
(11/18/2019)

RR

Delaware
(11/18/2019)

RR

District of Columbia
(11/18/2019)

RR

Florida
(11/19/2019)

RR

Georgia
(11/18/2019)

RR

Hawaii
(11/26/2019)

RR

Idaho
(11/18/2019)

RR

Illinois
(11/18/2019)

RR

Indiana
(11/19/2019)

RR

Iowa
(11/18/2019)

RR

Kansas
(11/18/2019)

RR

Kentucky
(11/18/2019)

RR

Louisiana
(11/18/2019)

RR

Maine
(11/18/2019)

RR

Maryland
(11/18/2019)

RR

Massachusetts
(11/18/2019)

RR

Michigan
(11/18/2019)

RR

Minnesota
(11/18/2019)

RR

Mississippi
(11/18/2019)

RR

Missouri
(11/18/2019)

RR

Montana
(11/18/2019)

RR

Nebraska
(11/18/2019)

RR

Nevada
(12/2/2019)

RR

New Hampshire
(11/20/2019)

RR

New Jersey
(11/18/2019)

RR

New Mexico
(11/18/2019)

RR

New York
(11/18/2019)

RR

North Carolina
(11/18/2019)

RR

North Dakota
(11/18/2019)

RR

Ohio
(11/18/2019)

RR

Oklahoma
(11/18/2019)

RR

Oregon
(11/18/2019)

RR

Pennsylvania
(11/19/2019)

RR

Puerto Rico
(11/25/2019)

RR

Rhode Island
(11/18/2019)

RR

South Carolina
(11/19/2019)

RR

South Dakota
(11/18/2019)

RR

Tennessee
(11/18/2019)

RR

Texas
(11/18/2019)

RR

Utah
(11/18/2019)

RR

Vermont
(11/18/2019)

RR

Virginia
(11/19/2019)

RR

Washington
(11/18/2019)

RR

West Virginia
(11/18/2019)

RR

Wisconsin
(11/18/2019)

RR

Wyoming
(11/18/2019)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1994About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Sep 2026About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jul 2009

Series 7 — General Securities Representative Examination

Passed Oct 1994About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 1999About the Series 24 exam

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Edward Robert Lainfiesta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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EL

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