Marc Lewis
Professional summary
Marc Lewis is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marc Lewis's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2024 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 1434 Struce Street Suite 100, Boulder, CO 80302March 15, 2024 - December 25, 2024
WEDBUSH & CO., LLC
April 5, 2019 - December 25, 2024
WEDBUSH SECURITIES INC.
June 12, 2018 - April 4, 2019
BTIG, LLC
March 5, 2014 - February 4, 2015
MERRIMAN CAPITAL, INC.
March 20, 2013 - March 25, 2014
FUSION ANALYTICS SECURITIES LLC
April 7, 2004 - July 20, 2004
FIRST NEW YORK SECURITIES L.L.C.
November 13, 1995 - March 27, 1998
FINANCIAL SQUARE PARTNERS
June 5, 1992 - November 15, 1995
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/19/2024)
(12/19/2024)
Exams
Series 99TO
Date: 2/17/2023
Operations Professional ExaminationSeries 82TO
Date: 1/9/2023
Limited Representative-Private Securities OfferingsSeries 55
Date: 4/13/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
ROTH CAPITAL PARTNERS, LLC
CRD#: 15407 / SEC#: , 8-32129
Contact information
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
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