Thomas G. Messina
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.
Thomas Gerald Messina, who also goes by Thomas G Messina, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, 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
January 31, 2023 - August 19, 2025
ROTH CAPITAL PARTNERS, LLC
March 4, 2002 - January 31, 2023
MKM PARTNERS LLC
June 30, 1995 - March 15, 2002
A.B. WATLEY, INC.
December 20, 1993 - November 11, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
November 8, 1991 - December 16, 1993
WEEDEN & CO.L.P.
May 18, 1989 - July 10, 1991
CANTOR FITZGERALD & CO.
August 22, 1987 - January 30, 1989
PRUDENTIAL EQUITY GROUP, LLC
December 4, 1985 - April 20, 1987
BLINDER, ROBINSON & CO., INC.
September 24, 1985 - December 10, 1985
MONVEST SECURITIES, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent 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.
