Dean C. Goss
Professional summary
Dean Colvin Goss is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Dean is registered as a RR (Registered Representative) and started their career in finance in 1983. Dean has worked at 13 firms and has passed the Series 63, Series 16, Series 15, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dean Colvin Goss's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2021 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660September 29, 2014 - September 13, 2019
SEAPORT GLOBAL SECURITIES LLC
September 7, 2011 - September 29, 2014
GLOBAL HUNTER SECURITIES, LLC
July 15, 2010 - July 30, 2010
THINKEQUITY LLC
April 16, 2010 - September 2, 2011
OPPENHEIMER & CO. INC.
July 3, 2007 - November 24, 2008
BREAN CAPITAL, LLC
April 12, 2004 - April 30, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
March 28, 2001 - November 13, 2003
COMMERZ MARKETS LLC
December 22, 1998 - June 23, 2000
ABN AMRO SECURITIES LLC
August 5, 1998 - December 22, 1998
J.P. MORGAN SECURITIES LLC
May 31, 1991 - November 5, 1991
SCOTT & STRINGFELLOW, INC.
July 30, 1985 - October 30, 1989
MORGAN KEEGAN & COMPANY, LLC
January 2, 1983 - March 23, 1984
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/22/2021)
(6/22/2021)
Exams
Series 15
Date: 12/1/1983
Foreign Currency Options ExaminationFINRA
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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