BR
Byron C. Roth
ROTH CAPITAL PARTNERS
Miami Beach, FL 33139
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CRD#: 1768553
BR
Professional summary
Byron Clarence Roth is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Miami Beach, Florida.
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.
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.
CRS (Client Relationship Summary) - BD
Click below to view Byron Clarence Roth'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
April 22, 1992 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 2340 Collins Avenue, Suite 402, Miami Beach, FL 33139Office #2: 452 Fifth Ave. 23rd Floor, New York, NY 10018Office #3: 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660RIA
BD
CRD#: 15407
Miami Beach, FL
Past
April 22, 2016 - October 12, 2017
RLJ CAPITAL MARKETS, LLC
BD
CRD#: 281119
BETHESDA, MD
Past
January 17, 1991 - April 15, 1992
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
Past
November 25, 1987 - December 31, 1990
SWARTWOOD, HESSE INC.
BD
CRD#: 8603
NEW YORK, NY
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
Arizona(1/1/1996)
RR
Arkansas(7/2/2002)
RR
California(5/8/1992)
RR
Colorado(6/1/1993)
RR
Connecticut(7/7/1993)
RR
Florida(6/2/1993)
RR
Georgia(1/2/1997)
RR
Illinois(7/7/1993)
RR
Iowa(4/22/1992)
RR
Maryland(2/13/2014)
RR
Massachusetts(9/8/1995)
RR
Nevada(9/19/1994)
RR
New Jersey(4/22/1992)
RR
New Mexico(3/4/2014)
RR
New York(4/22/1992)
RR
North Carolina(6/1/1993)
RR
Ohio(11/15/2000)
RR
Oregon(1/1/1996)
RR
Pennsylvania(11/19/2007)
RR
South Carolina(6/2/1993)
RR
South Dakota(10/11/2004)
RR
Tennessee(9/11/1995)
RR
Texas(9/8/1995)
RR
Utah(12/7/2001)
RR
Virginia(11/8/1995)
RR
Washington(1/2/1997)
RR
Wisconsin(1/4/1996)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROTH CAPITAL PARTNERS, LLC
CRD#: 15407Miami Beach, FL 33139TRUST BUT VERIFY
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