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RR

Ronald H. Reede

ROTH CAPITAL PARTNERS
NEW YORK, NY 10018
Some features on this profile are disabled
CRD#: 1559906
RR

Professional summary

Ronald Howard Reede is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in New York, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1986. Ronald has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Howard Reede's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 6, 2020 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 452 Fifth Ave. 23rd Floor, New York, NY 10018
RIA
BD
CRD#: 15407
NEW YORK, NY
Past

February 4, 2015 - August 21, 2019

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

May 6, 2005 - December 3, 2013

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

June 22, 1998 - May 10, 2005

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

March 5, 1992 - April 29, 1998

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

August 29, 1989 - March 12, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

November 18, 1986 - December 22, 1987

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/6/2020)
RR
Connecticut
(4/6/2020)
RR
Florida
(10/9/2020)
RR
Georgia
(10/9/2020)
RR
Illinois
(11/9/2021)
RR
New Jersey
(4/6/2020)
RR
New York
(4/6/2020)
RR
North Carolina
(10/9/2020)
RR
Pennsylvania
(2/27/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/7/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RC
ROTH CAPITAL PARTNERS, LLC
CDB SECURITIES, INC. | ROTH CAPITAL PARTNERS, LLC | ROTH CAPITAL PARTNERS, INC. | CRUTTENDEN ROTH INCORPORATED | CRUTTENDEN & COMPANY | CRUTTENDEN & CO., INC.

CRD#: 15407 / SEC#: , 8-32129

California
Registered Investment Advisory firm - SEC (5/7/2001 Approved)
Florida
Registered Investment Advisory firm - SEC (6/28/2024 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
888 San Clemente Suite 400, Newport Beach, CA 92660
Mailing Address
888 San Clemente Suite 400, Newport Beach, CA 92660
Phone number
(949) 720-5700
Established
California since 01/10/2001
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
10

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CR FINANCIAL HOLDINGS, INC.MEMBER
AKDENIZ, NAZANCOO2522215
GUREWITZ, AARON MICHAELCO-CHIEF EXECUTIVE OFFICER2244273
LAMARCHE, KRISTIN DIANECHIEF COMPLIANCE OFFICER2582393
MORK, JONATHAN ANDREWMANAGER4349125
PANAGIOTIDIS, ALEXROSFP4582559
PLATT, RICHARD LGENERAL COUNSEL2059118
ROTH, BYRON CLARENCECHAIRMAN/MANAGER1768553
ROTH, GORDON JAMESCHIEF FINANCIAL OFFICER/FINOP/MANAGER3167226
ROTH, THEODORE DAVIDVICE CHAIRMAN4615931
SHETH, SAGAR ARVINDCO-CHIEF EXECUTIVE OFFICER5209865

Disclosures

Regulatory Event16
Arbitration12

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.

Company Information

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407New York, NY 10018

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