Brian V. Mckenna
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.
Brian Vincent Mckenna, who also goes by Brian V Mckenna, Brian VIncent Shey Mckenna, Brian Vincent Shea, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 15 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - December 4, 2024
ROTH CAPITAL PARTNERS, LLC
July 31, 2015 - October 27, 2017
OTR GLOBAL TRADING LLC
May 28, 2014 - March 13, 2015
CANTOR FITZGERALD & CO.
September 14, 2012 - June 18, 2013
CRT CAPITAL GROUP LLC
July 21, 2011 - October 12, 2011
WELLS FARGO PRIME SERVICES, LLC
January 27, 2010 - October 12, 2010
CANACCORD GENUITY SECURITIES LLC
January 27, 2006 - December 31, 2009
WILLIAM BLAIR
July 25, 2003 - January 23, 2006
SUSQUEHANNA FINANCIAL GROUP, LLLP
April 27, 2000 - July 8, 2003
THOMAS WEISEL PARTNERS LLC
March 31, 1997 - December 20, 1999
VOLPE BROWN WHELAN & COMPANY, LLC
March 24, 1995 - March 27, 1997
RODMAN & RENSHAW INC.
May 24, 1991 - March 31, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
January 18, 1990 - April 8, 1991
GRUNTAL & CO., L.L.C.
July 31, 1986 - January 2, 1990
MCKINLEY ALLSOPP, INC.
September 24, 1985 - June 12, 1986
KIDDER, PEABODY & CO. INCORPORATED
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
Series 7TO
Date: 12/29/2023
General Securities Representative ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
