Harry Fong
Professional summary
Harry Fong is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.
Harry is registered as a RR (Registered Representative) and started their career in finance in 1984. Harry has worked at 8 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Harry Fong'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 06901March 19, 2012 - January 31, 2023
MKM PARTNERS LLC
May 11, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
November 6, 2008 - June 2, 2011
SOLEIL SECURITIES CORPORATION
June 1, 2004 - January 8, 2008
CREDIT AGRICOLE SECURITIES (USA) INC.
May 6, 2002 - May 10, 2004
BLAYLOCK & COMPANY, INC.
March 23, 1994 - April 24, 2000
DEUTSCHE BANK SECURITIES INC.
February 23, 1984 - February 23, 1994
CONNING & COMPANY
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)
(1/31/2023)
Exams
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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