Marc S. Bathgate

7TWO

Park City, UT

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CRD#: 5045724

Professional summary

Marc Stevens Bathgate is a registered financial advisor currently at 7TWO located in Park City, Utah and SILVER LEAF PARTNERS, LLC located in New York, New York.

Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Marc has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Marc Stevens Bathgate's CRS (Customer Relationship Summary).

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 14, 2024 - Present

7TWO

RIA

CRD#: 328900

Park City, UT

Current

August 22, 2021 - Present

SILVER LEAF PARTNERS, LLC

Office #1: 3 Columbus Circle Floor 15, New York, NY 10019

CRD#: 126694

New York, NY

Past

January 21, 2021 - August 26, 2021

FAR HILLS GROUP, LLC.

CRD#: 32243

NEW YORK, NY

Past

April 23, 2008 - December 31, 2020

EQUITYBEE SECURITIES, LLC

CRD#: 41896

Park City, UT

Past

November 9, 2005 - December 31, 2010

GVC CAPITAL LLC

CRD#: 38923

CENTENNIAL, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

7TWO

CRD#: 328900 / SEC#: 801-129353

RIA

Registered Investment Advisory firm - (1/17/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New York
(8/22/2021)

Utah
(8/22/2021)

IAR

Utah
(5/14/2024)

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

State Security Law Exam

IAR

Series 65

Date: 1/5/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/8/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

7TWO

CRD#: 328900 / SEC#: 801-129353

RIA

Registered Investment Advisory firm - (1/17/2024 Approved)

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Contact information

Main Address

100 Fillmore Street 5th Floor, Denver, CO 80206

Mailing Address

Phone number

(720) 477-7274

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 142,280,777

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.

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Advisor Monitoring

Firm Stability Insights

Marc S. Bathgate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Stevens Bathgate's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER LEAF PARTNERS, LLC

FAR HILLS GROUP, LLC.

EQUITYBEE SECURITIES, LLC

GVC CAPITAL LLC

Primary Firm SEC Registration

7TWO

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/2024

Series 63

Date: 1/11/2006

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/8/2005

Series 24

Date: 11/8/2006

FINRA

Current Firm

7TWO

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

7TWO

TRUST BUT VERIFY

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