Susan A. Venezia
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.
Susan Amy Venezia, who also goes by Susan Amy Harman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1996. Susan had worked at 9 firms and has passed the Series 7TO, Series 16, SIE, Series 87, 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
September 3, 2014 - June 14, 2021
ROTH CAPITAL PARTNERS, LLC
April 14, 2014 - September 4, 2014
COWEN AND COMPANY
November 6, 2013 - June 3, 2014
CITIZENS JMP SECURITIES, LLC
August 15, 2013 - August 28, 2014
AVONDALE PARTNERS, LLC
September 2, 2003 - March 13, 2012
TRUIST INVESTMENT SERVICES, INC.
July 27, 2001 - May 17, 2013
TRUIST SECURITIES, INC.
October 19, 1999 - July 30, 2001
CITIGROUP GLOBAL MARKETS INC.
May 22, 1998 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
May 29, 1996 - August 20, 1997
LEHMAN BROTHERS 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 7TO
Date: 3/8/2024
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.
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