John P. Nolan
Professional summary
John Philip Nolan is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.
John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 8 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Philip Nolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2025 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 677 Washington Blvd. Suite 510, Stamford, CT 06901September 13, 2021 - January 2, 2025
JONESTRADING
August 6, 2019 - July 2, 2021
BGC FINANCIAL, L.P.
February 4, 2019 - July 31, 2019
LIBERTY ASSOCIATES, INC.
July 18, 2017 - January 14, 2019
ACS EXECUTION SERVICES, LLC
February 4, 1986 - January 12, 2016
WEEDEN & CO.L.P.
February 29, 1984 - January 1, 1986
MOSELEY SECURITIES CORPORATION
October 19, 1983 - January 25, 1984
J.P. MORGAN SECURITIES 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
(1/6/2025)
(1/6/2025)
(1/6/2025)
(1/8/2025)
Exams
Series 57TO
Date: 10/15/2021
Securities Trader ExamCboe BZX Exchange, Inc.
FINRA
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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