Kristin Diane Lamarche
Professional Summary
Kristin Diane Lamarche, who also goes by Kristin Diane Price, is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California. Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kristin has worked at 1 firm and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14 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
Kristin Diane Price
Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
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
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Years of Experience
31 years in the financial services industry
Current & Past Employments
Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
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 | 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
16Arbitration
12Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
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.
Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
State Registrations and Notice Filings
(5/3/1995)
(10/6/2005)
(6/28/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2002SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Diane Lamarche's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristin Diane Lamarche's CRS (Customer Relationship Summary).
Similar Advisors
RS CRUM INC.
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
