Thomas R. Schwartz
Professional summary
Thomas Robert Schwartz is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Robert Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2016 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 452 Fifth Ave. 23rd Floor, New York, NY 10018January 14, 2009 - March 6, 2012
NEEDHAM & COMPANY, LLC
January 13, 2009 - May 24, 2016
NEEDHAM & COMPANY, LLC
April 21, 2004 - November 12, 2008
CANACCORD GENUITY SECURITIES LLC
May 3, 2000 - November 4, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - May 19, 2000
COWEN AND COMPANY
July 19, 1991 - July 1, 1998
FINANCIAL SQUARE PARTNERS
December 4, 1990 - June 6, 1991
CRESVALE INTERNATIONAL, INC.
May 20, 1982 - February 26, 1987
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
(8/17/2016)
(6/12/2020)
(6/19/2020)
(8/17/2016)
(1/3/2017)
(9/28/2020)
(10/27/2016)
(9/23/2022)
(2/27/2025)
(9/28/2020)
(8/26/2016)
(8/17/2016)
(8/22/2016)
(8/31/2016)
(9/9/2021)
(8/22/2016)
(8/17/2016)
Exams
Series 8
Date: 6/10/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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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