Gregory T. Tuerk
Professional summary
Gregory Thomas Tuerk is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1986. Gregory has worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Thomas Tuerk's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2019 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660April 21, 2017 - September 13, 2019
SEAPORT GLOBAL SECURITIES LLC
August 8, 2016 - April 27, 2017
ROTH CAPITAL PARTNERS, LLC
September 29, 2014 - August 2, 2016
SEAPORT GLOBAL SECURITIES LLC
March 11, 2013 - December 9, 2015
GHS TRADING LLC
March 23, 2011 - September 29, 2014
GLOBAL HUNTER SECURITIES, LLC
June 10, 2008 - October 1, 2010
GLOBAL HUNTER SECURITIES, LLC
October 10, 1997 - July 12, 2000
ROTH CAPITAL PARTNERS, LLC
January 25, 1995 - October 6, 1997
COWEN PRIME SERVICES TRADING LLC
July 20, 1994 - February 3, 1995
HAMBRECHT & QUIST LLC
November 13, 1992 - May 10, 1994
COWEN PRIME SERVICES TRADING LLC
October 22, 1987 - January 25, 1988
B. R. STICKLE & CO.
February 19, 1987 - March 20, 1987
BLUNT ELLIS & LOEWI INCORPORATED
January 21, 1986 - September 16, 1987
MABON, NUGENT & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/13/2024)
(12/5/2019)
(12/9/2019)
(12/6/2021)
(11/14/2024)
(8/24/2023)
(11/24/2020)
(5/31/2024)
(10/29/2024)
(11/9/2021)
(10/27/2020)
(12/5/2019)
Exams
Series 55
Date: 10/20/2008
Limited Representative-Equity Trader ExamCboe BZX Exchange, Inc.
FINRA
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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