Steven L. 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.
Steven Louis Messina, who also goes by Steven Messina, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 87, Series 55, Series 7, Series 9, Series 14, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2023 - August 19, 2025
ROTH CAPITAL PARTNERS, LLC
March 4, 2002 - March 29, 2023
MKM PARTNERS LLC
August 5, 1996 - March 15, 2002
A.B. WATLEY, INC.
January 14, 1993 - June 5, 1995
KOBREN INSIGHT BROKERAGE, INC
May 27, 1988 - April 3, 1992
FIDELITY BROKERAGE SERVICES LLC
September 9, 1987 - December 22, 1987
KUHNS BROTHERS & LAIDLAW, INC.
May 21, 1987 - August 20, 1987
BLINDER, ROBINSON & CO., 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 11/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Check for any disclosures as part of your thorough research when choosing an advisor.
