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Kristin Diane Lamarche

Roth Capital Partners, LLC

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About Kristin Diane Lamarche

Kristin Lamarche is a financial professional with over 28 years of experience in the industry. Kristin is a registered representative of Roth Capital Partners, LLC. Kristin is a Series 66 and Series 63 licensed professional. Kristin has a strong track record of providing financial advice to individuals and institutions. Kristin is also a compliance officer for Roth Capital Partners, LLC and has extensive knowledge of the securities industry. Kristin is committed to providing her clients with the highest quality of service and helping them achieve their financial goals.

Firm Information

Kristin Lamarche is currently registered with Roth Capital Partners, LLC. Roth Capital Partners, LLC is a Limited Liability Company formed on January 10, 2001. The firm provides investment advisory services, including distribution of sell-side research reports/corporate access and acting as a solicitor. They have a presence in 52 states and the District of Columbia. Roth Capital Partners, LLC primarily serves investment companies and other investment advisors, with a reported 70 clients in these categories. The firm has disclosed 16 regulatory events and 12 arbitration events.

Not reported

Assets Under Management

Not reported

Total Clients

85

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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(1) distribution of sell-side research reports/corporate access (2) solicitor

(1) distribution of sell-side research reports/corporate access (2) solicitor

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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Kristin Lamarche’s Registration & Firm History

CA

06/28/2024 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

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Licenses & Designations

BOTH

Issued 06/20/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/07/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 11/21/1996

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/20/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kristin Diane Lamarche.
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