Michael E. Perez
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.
Michael Ernest Perez, who also goes by Michael Ernest, Michael Enest Penez, Michael Ernest Penez, Ernest Michael Perez, Michael Perez, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2010 - April 4, 2016
ROTH CAPITAL PARTNERS, LLC
December 13, 2006 - August 26, 2010
B. RILEY & CO., LLC
August 11, 2005 - December 7, 2006
RAYMOND JAMES & ASSOCIATES, INC.
June 16, 1999 - August 1, 2005
THE SEIDLER COMPANIES INCORPORATED
October 7, 1997 - June 11, 1999
ROTH CAPITAL PARTNERS, LLC
December 3, 1996 - October 16, 1997
HANIFEN, IMHOFF INC.
June 9, 1995 - June 13, 1997
ROTH CAPITAL PARTNERS, LLC
August 19, 1994 - June 21, 1995
TEXAS CAPITAL SECURITIES, INC.
May 5, 1992 - July 11, 1994
ROTH CAPITAL PARTNERS, LLC
March 21, 1991 - May 4, 1992
ROBERT BRANDT & CO.
January 30, 1990 - January 3, 1991
BROKERWEST
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 55
Date: 4/19/2000
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.
