Vanessa E. Jagenburg
Professional summary
Vanessa Ellen Jagenburg, who also goes by Vanessa Ellen Fiene, Vanessa Ellen Jagenburg Ms, Vanessa Ellen Jagenburgfiene, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.
Vanessa is registered as a RR (Registered Representative) and started their career in finance in 1981. Vanessa has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vanessa Ellen Jagenburg's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 677 Washington Blvd. Suite 510, Stamford, CT 06901October 1, 2019 - January 31, 2023
MKM PARTNERS LLC
April 4, 2011 - October 1, 2019
C. L. KING & ASSOCIATES, INC.
November 30, 2010 - February 1, 2011
TD ARRANGED SERVICES LLC
July 9, 2008 - December 9, 2010
LABRANCHE FINANCIAL SERVICES, LLC
May 15, 1989 - March 18, 2008
LEHMAN BROTHERS INC.
September 24, 1981 - August 2, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/31/2023)
(11/26/2024)
(2/27/2025)
(2/27/2025)
(2/27/2025)
(2/27/2025)
(2/27/2025)
(1/31/2023)
(2/27/2025)
(2/27/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/23/1999
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
ROTH CAPITAL PARTNERS, LLC
CRD#: 15407 / SEC#: , 8-32129
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CR FINANCIAL HOLDINGS, INC. | MEMBER | |
| AKDENIZ, NAZAN | COO | 2522215 |
| GUREWITZ, AARON MICHAEL | CO-CHIEF EXECUTIVE OFFICER | 2244273 |
| LAMARCHE, KRISTIN DIANE | CHIEF COMPLIANCE OFFICER | 2582393 |
| MORK, JONATHAN ANDREW | MANAGER | 4349125 |
| PANAGIOTIDIS, ALEX | ROSFP | 4582559 |
| PLATT, RICHARD L | GENERAL COUNSEL | 2059118 |
| ROTH, BYRON CLARENCE | CHAIRMAN/MANAGER | 1768553 |
| ROTH, GORDON JAMES | CHIEF FINANCIAL OFFICER/FINOP/MANAGER | 3167226 |
| ROTH, THEODORE DAVID | VICE CHAIRMAN | 4615931 |
| SHETH, SAGAR ARVIND | CO-CHIEF EXECUTIVE OFFICER | 5209865 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Red Flags
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