Kathy L. Leszinski
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathy Lynn Leszinski, who also goes by Kathy Lynn Flinspach, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1983. Kathy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2003 - July 17, 2019
ROTH CAPITAL PARTNERS, LLC
May 5, 2003 - July 17, 2019
ROTH CAPITAL PARTNERS, LLC
February 4, 2002 - May 2, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 1, 2001 - May 2, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 2000 - November 12, 2001
PIPER SANDLER & CO.
April 26, 1999 - October 16, 2000
E*OFFERING
April 24, 1996 - April 29, 1999
ROTH CAPITAL PARTNERS, LLC
October 11, 1992 - April 26, 1996
MORGAN STANLEY DW INC.
May 21, 1992 - October 13, 1992
INDEPENDENT FINANCIAL GROUP, LLC
June 22, 1983 - October 14, 1991
INDEPENDENT FINANCIAL GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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