Byron Clarence Roth
Professional Summary
Byron Clarence Roth is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in New York, New York. Byron is registered as a RR (Registered Representative) and started their career in finance in 1987. Byron has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CDB SECURITIES, INC. | ROTH CAPITAL PARTNERS, LLC | ROTH CAPITAL PARTNERS, INC. | CRUTTENDEN ROTH INCORPORATED | CRUTTENDEN & COMPANY | CRUTTENDEN & CO., INC.
Contact Information
Main Address
888 San Clemente Suite 400, Newport Beach, CA 92660Mailing Address
888 San Clemente Suite 400, Newport Beach, CA 92660Phone Number
(949) 720-5700Established
California since 01/10/2001Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
Medium# of Employees
10FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
Disclosures
Regulatory Event
16Arbitration
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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.
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State Registrations and Notice Filings
(1/1/1996)
(7/2/2002)
(5/8/1992)
(6/1/1993)
(7/7/1993)
(6/2/1993)
(1/2/1997)
(7/7/1993)
(4/22/1992)
(2/13/2014)
(9/8/1995)
(9/19/1994)
(4/22/1992)
(3/4/2014)
(4/22/1992)
(6/1/1993)
(11/15/2000)
(1/1/1996)
(11/19/2007)
(6/2/1993)
(10/11/2004)
(9/11/1995)
(9/8/1995)
(12/7/2001)
(11/8/1995)
(1/2/1997)
(1/4/1996)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Byron Clarence Roth's CRS (Customer Relationship Summary).
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