Anthony G. Caserta
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.
Anthony Gerard Caserta, who also goes by Anthony Caserta, Tony Caserta, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1985. Anthony had worked at 9 firms and has passed the 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
December 6, 2019 - January 29, 2026
ROTH CAPITAL PARTNERS, LLC
April 13, 2016 - November 27, 2019
COVA CAPITAL PARTNERS LLC
March 13, 2015 - April 5, 2016
NORTHLAND SECURITIES, INC.
January 15, 2004 - March 19, 2015
SUMMER STREET RESEARCH PARTNERS
December 19, 2002 - January 14, 2004
THE CONCORD EQUITY GROUP, LLC
February 12, 1996 - December 16, 2002
LEERINK PARTNERS LLC
October 22, 1993 - October 18, 1995
LYNCH, JONES & RYAN LLC
August 15, 1986 - November 10, 1993
CIBC WORLD MARKETS CORP.
May 21, 1985 - August 26, 1986
STOEVER, GLASS & COMPANY 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
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 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Red Flags
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