Marc Lewis
Professional Summary
Marc Lewis is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in Boulder, Colorado. Marc is registered as a RR (Registered Representative) and started their career in finance in 1992. Marc has worked at 9 firms and has passed the Series 63, Series 99TO, Series 82TO, SIE, Series 79, Series 7, Series 55 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
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.
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
Current Firm
CDB SECURITIES, INC. | ROTH CAPITAL PARTNERS, LLC | ROTH CAPITAL PARTNERS, INC. | CRUTTENDEN ROTH INCORPORATED | CRUTTENDEN & COMPANY | CRUTTENDEN & CO., INC.
Contact Information
Main Address
888 San Clemente Suite 400, Newport Beach, CA 92660Mailing Address
888 San Clemente Suite 400, Newport Beach, CA 92660Phone Number
(949) 720-5700Established
California since 01/10/2001Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
Medium# of Employees
10FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CR FINANCIAL HOLDINGS, INC. | MEMBER | — |
| AKDENIZ, NAZAN | COO | 2522215 |
| GUREWITZ, AARON MICHAEL | 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
16Arbitration
12Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
(12/19/2024)
(12/19/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Jun 2018About the Series 79 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2004SRO Registrations
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Marc Lewis's CRS (Customer Relationship Summary).
Similar Advisors
SEQUENT PLANNING, LLC
SIMPLICITY WEALTH
SANCTUARY ADVISORS, LLC
RAYMOND JAMES & ASSOCIATES, INC.