EL
Edward R. Lainfiesta
ROTH CAPITAL PARTNERS
Newport Beach, CA 92660
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CRD#: 1139496
EL
Professional summary
Edward Robert Lainfiesta, who also goes by Edward Lain, is a registered financial professional 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 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Edward Lain
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.
CRS (Client Relationship Summary) - BD
Click below to view Edward Robert Lainfiesta's 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®
NoneExperience
Current
November 18, 2019 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660Office #2: 130 King St. West 19th Floor, Toronto, M5X-2A2Office #3: 452 Fifth Ave. 23rd Floor, New York, NY 10018Office #4: 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660RIA
BD
CRD#: 15407
Newport Beach, CA
Past
October 2, 2014 - November 8, 2019
SEAPORT GLOBAL SECURITIES LLC
BD
CRD#: 116270
COSTA MESA, CA
Past
October 2, 2012 - December 11, 2017
GHS TRADING LLC
BD
CRD#: 158195
COSTA MESA, CA
Past
May 30, 2007 - July 6, 2015
GLOBAL HUNTER SECURITIES, LLC
BD
CRD#: 123003
COSTA MESA, CA
Past
May 17, 2001 - February 28, 2007
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
Past
April 23, 1999 - May 5, 2000
E*OFFERING
BD
CRD#: 36717
SAN FRANCISCO, CA
Past
April 14, 1997 - March 1, 1999
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
LOS ANGELES, CA
Past
May 18, 1995 - April 4, 1997
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
Past
November 30, 1994 - March 31, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 21, 1994 - November 10, 1994
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Past
March 16, 1988 - January 20, 1989
HAMBRECHT & QUIST LLC
BD
CRD#: 940
Past
November 6, 1984 - March 15, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
June 22, 1983 - November 5, 1984
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/2/2009
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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)
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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)
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 |
| SHETH, SAGAR ARVIND | CO-CHIEF EXECUTIVE OFFICER | 5209865 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
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.
