Salvatore E. Miciotta
Professional summary
Salvatore E Miciotta, who also goes by Sal Miciotta, Salvatore Emanuel Miciotta Jr, Salvatore Miciotta, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in New York, New York.
Salvatore is registered as a RR (Registered Representative) and started their career in finance in 1984. Salvatore has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Salvatore E Miciotta's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2024 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 452 Fifth Ave. 23rd Floor, New York, NY 10018September 1, 2017 - February 16, 2024
SEAPORT GLOBAL SECURITIES LLC
October 17, 2011 - August 28, 2017
MKM PARTNERS LLC
August 27, 2004 - September 26, 2011
KNIGHT CAPITAL AMERICAS, L.P.
October 1, 2000 - February 27, 2002
FARINA & ASSOCIATES, INC.
September 24, 1986 - January 15, 1996
NEUBERGER BERMAN BD LLC
June 20, 1984 - December 20, 1986
MORGAN STANLEY DW 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
(2/28/2024)
(2/28/2024)
(11/26/2024)
(11/26/2024)
(2/28/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/8/2004
Limited Representative-Equity 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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