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LL

Lynn C. Lewis

GILMARTIN FINANCIAL
Larkspur, CA 94939
Some features on this profile are disabled
CRD#: 2988606
LL

Professional summary

Lynn Christine Lewis, who also goes by Lynn Christine Pieper, is a registered financial professional currently at GILMARTIN FINANCIAL located in Larkspur, California.

Lynn is registered as a RR (Registered Representative) and started their career in finance in 1998. Lynn has worked at 4 firms and has passed the Series 63, Series 99TO, Series 82TO, Series 79TO, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lynn Christine Pieper

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lynn Christine Lewis'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®
None

Experience

Current

May 2, 2022 - Present

GILMARTIN FINANCIAL

Office #1: 60 E Sir Francis Drake Blvd., Suite 208, Larkspur, CA 94939Office #2: 650 Fifth Ave. Ste 2720, New York, NY 10019
BD
CRD#: 312622
Larkspur, CA
Past

January 10, 2006 - December 31, 2009

APHELION CAPITAL, LLC

RIA
CRD#: 136365
SAN FRANCISCO, CA
Past

March 21, 2001 - January 5, 2006

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

March 10, 1998 - March 13, 2001

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY

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
California
(5/12/2022)
RR
Massachusetts
(8/10/2023)
RR
New York
(8/10/2023)
RR
Texas
(3/25/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 8/10/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/10/2022
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 7/27/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/25/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 1/14/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 3/9/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/13/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GF
GILMARTIN FINANCIAL
GILMARTIN FINANCIAL | GILMARTIN FINANCIAL LLC

CRD#: 312622 / SEC#: , 8-70713

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
60 E Sir Francis Drake Blvd., Suite 208, Larkspur, CA 94939
Mailing Address
60 E Sir Francis Drake Blvd., Suite 208, Larkspur, CA 94939
Phone number
(415) 937-5400
Established
California since 01/08/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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Documents

Direct owners and executive officers

NamePositionCRD#
LEWIS, LYNN CHRISTINECEO, CCO, EXECUTIVE REPRESENTATIVE
BRANT, DAVID ROBERTFINOP, POO AND PFO2718478

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.

Company Information

GILMARTIN FINANCIAL

CRD#: 312622Larkspur, CA 94939

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