Marc A. Bautis

BAUTIS FINANCIAL

Montclair, NJ 07042

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CRD#: 5564659

Professional summary

Marc Arthur Bautis, who also goes by Marc Bautis, is a registered financial advisor currently at BAUTIS FINANCIAL, LLC located in Montclair, New Jersey.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Marc has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Bautis

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 Arthur Bautis'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 13, 2015 - Present

BAUTIS FINANCIAL, LLC

Office #1: 8 Hillside Ave Suite Ll1, Montclair, NJ 07042

RIA

CRD#: 148582

Montclair, NJ

Past

January 6, 2009 - December 31, 2010

BAUTIS FINANCIAL, LLC

RIA

CRD#: 148582

HASBROUCK HEIGHTS, NJ

Past

September 2, 2008 - November 19, 2008

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

NUTLEY, NJ

Past

August 8, 2008 - November 19, 2008

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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".

BAUTIS FINANCIAL, LLC

BAUTIS FINANCIAL, LLC | NAME 417

CRD#: 148582 / SEC#: 801-129584

RIA

Registered Investment Advisory firm - (2/29/2024 Approved)

Florida

Registered Investment Advisory firm - (3/15/2024 Terminated)

New York

Registered Investment Advisory firm - (3/15/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/14/2021)

IAR

New Jersey
(5/13/2015)

IAR

New York
(11/12/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/7/2008

General Securities Representative Examination

Current Firm

BAUTIS FINANCIAL, LLC

BAUTIS FINANCIAL, LLC | NAME 417

CRD#: 148582 / SEC#: 801-129584

RIA

Registered Investment Advisory firm - (2/29/2024 Approved)

Florida

Registered Investment Advisory firm - (3/15/2024 Terminated)

New York

Registered Investment Advisory firm - (3/15/2024 Terminated)

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Contact information

Main Address

8 Hillside Ave Suite Ll1, Montclair, NJ 07042

Mailing Address

Phone number

(862) 205-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (2/24/2025)

Regulatory assets under management

Total Number of Accounts	742
AUM (Assets Under Management)	$ 156,774,640

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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Marc A. Bautis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Arthur Bautis's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAUTIS FINANCIAL, LLC

BAUTIS FINANCIAL, LLC

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

Primary Firm SEC Registration

BAUTIS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2008

Series 7

Date: 8/7/2008

Current Firm

BAUTIS FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAUTIS FINANCIAL, LLC

TRUST BUT VERIFY

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