Marc Bautis has been President/Chief Compliance Officer of Bautis Financial since November 2008, is a control person of the firm and directly owns 75% or more of it. Marc Bautis holds a Degree in Mathematics from Seton Hall University.
Bautis Financial, LLC is a Montclair, NJ firm with $197M under management, 275 clients and 2 advisers across 2 offices, as of its February 2026 filing.
Marc Bautis is Founder and Wealth Manager of Bautis Financial, based in Montclair, NJ. He founded the firm in 2008. He hosts The Agent of Wealth Podcast and is the author of The Retirement Fitness Challenge, a book and program for pre-retirees and retirees.
Marc Bautis’ longest registration is the current one, 11 years at Bautis Financial since 2015. Before joining Bautis Financial in 2015, Marc Bautis was registered through Quest Capital Strategies, Inc.
- Bautis Financial, LLCCurrent– present · 11 yearsMontclair, NJ · Adviser representative · Firm CRD 148582
- Quest Capital Strategies, Inc.– · under a yearNutley, NJ · Adviser representative · Firm CRD 16783
Investment adviser representative registrations
Marc Bautis is registered as an investment adviser representative in 3 states. The first approvals date from May 2015; the most recent is New York, in November 2021.
- FloridaSince 14 January 2021
- New JerseySince 13 May 2015
- New YorkSince 12 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 28 August 2008 |
| Series 7 | General Securities Representative Examination | 7 August 2008 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Marc Arthur Bautis
- CRD
- 5564659
- Firm
- Bautis Financial · CRD 148582
- Role
- President/Chief Compliance Officer
- Office
- 8 HILLSIDE AVE, SUITE LL1, Montclair, NJ 07042
- Registration
- Investment adviser registration
- In the industry since
- February 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bautisfinancial.com
Where does Marc Bautis work?
Marc Bautis has been President/Chief Compliance Officer of Bautis Financial, LLC since November 2008, and is a control person of the firm.
Is Marc Bautis a financial advisor?
Yes. Marc Bautis has a current investment-adviser registration in Florida, New Jersey and New York, through Bautis Financial since May 2015.
How many years of experience does Marc Bautis have?
Marc Bautis has 13 years in the financial industry, since February 2013, across 2 adviser firms.
What exams has Marc Bautis passed?
Marc Bautis has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in August 2008.
Where did Marc Bautis work before Bautis Financial?
Before Bautis Financial, Marc Bautis was registered through Quest Capital Strategies, Inc., September 2008 to November 2008.
Where is Marc Bautis based?
Marc Bautis’ registered office is in Montclair, NJ.
Is Marc Bautis registered with FINRA?
No. Marc Bautis has no current broker registration.
How can I verify Marc Bautis’ record?
Search CRD 5564659 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Marc Bautis’ full registration record.