Cynthia L. Whitney
Professional summary
Cynthia Lynn Whitney, who also goes by Cynthia Lynn Whitney-mock, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in New York, New York.
Cynthia is registered as a RR (Registered Representative) and started their career in finance in 1988. Cynthia has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cynthia Lynn Whitney's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2013 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 452 Fifth Ave. 23rd Floor, New York, NY 10018October 16, 2006 - November 5, 2012
THINKEQUITY LLC
June 10, 2003 - October 12, 2006
SANDERS MORRIS LLC
February 24, 2003 - March 27, 2003
AVALON RESEARCH GROUP, INC.
April 26, 2000 - November 20, 2002
KEYBANC CAPITAL MARKETS INC.
September 8, 1997 - February 7, 2000
DEUTSCHE BANK SECURITIES INC.
March 7, 1997 - September 9, 1997
GILFORD SECURITIES INCORPORATED
July 24, 1995 - February 28, 1996
PINEBRIDGE SECURITIES LLC
February 28, 1990 - March 24, 1994
TRADECO GLOBAL SECURITIES, INC.
April 19, 1988 - October 16, 1989
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2013)
(7/6/2018)
(1/7/2013)
(8/22/2013)
(4/25/2013)
(7/6/2018)
(1/7/2013)
(1/7/2013)
(3/6/2023)
Exams
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
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