PD
Philip J. Dinapoli
ROTH CAPITAL PARTNERS
NEW YORK, NY 10018
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CRD#: 1652924
PD
Professional summary
Philip John Dinapoli JR, who also goes by Philip John Dinapoli, Phillip John Dinapoli Jr, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1987. Philip has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Philip John Dinapoli | Phillip John Dinapoli Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view Philip John Dinapoli JR's 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®
NoneExperience
Current
November 28, 1994 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 452 Fifth Ave. 23rd Floor, New York, NY 10018Office #2: 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660RIA
BD
CRD#: 15407
NEW YORK, NY
Past
May 26, 1994 - November 11, 1994
DEUTSCHE IXE, LLC
BD
CRD#: 7172
NEW YORK, NY
Past
July 30, 1993 - May 18, 1994
GLOBALCOMM SECURITIES, INC.
BD
CRD#: 13228
Past
January 17, 1990 - June 23, 1993
JMC INVESTMENT SERVICES, INC.
BD
CRD#: 14376
BOSTON, MA
Past
April 7, 1987 - March 12, 1988
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
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
Alabama(11/13/2024)
RR
California(11/28/1994)
RR
Colorado(1/7/2016)
RR
Connecticut(2/26/2004)
RR
Delaware(11/12/2021)
RR
District of Columbia(1/7/2016)
RR
Florida(1/14/2014)
RR
Georgia(1/7/2016)
RR
Illinois(1/3/2007)
RR
Maryland(11/12/2021)
RR
Massachusetts(2/26/2004)
RR
Michigan(1/7/2016)
RR
Minnesota(2/27/2025)
RR
New Jersey(1/6/2010)
RR
New York(12/12/2001)
RR
North Carolina(11/12/2021)
RR
Ohio(1/23/2014)
RR
Oregon(1/14/2014)
RR
Pennsylvania(11/12/2021)
RR
Texas(11/12/2021)
RR
Utah(1/3/2011)
RR
Vermont(8/10/2010)
RR
Virginia(1/14/2014)
RR
Washington(11/12/2021)
RR
Wyoming(1/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/12/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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)
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.
