Jonathan Mordoh
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.
Jonathan Mordoh, who also goes by Jon Mordoh, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1988. Jonathan had worked at 13 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2020 - January 30, 2024
ROTH CAPITAL PARTNERS, LLC
July 18, 2017 - February 13, 2020
LONGBOW SECURITIES, LLC
October 14, 2016 - July 3, 2017
B. RILEY WEALTH MANAGEMENT
February 26, 2015 - October 7, 2016
BREAN CAPITAL, LLC
May 7, 2012 - February 25, 2015
B. RILEY & CO., LLC
October 16, 2006 - May 1, 2012
THINKEQUITY LLC
September 27, 1996 - October 17, 2006
KAUFMAN BROS., L.P.
March 4, 1996 - September 19, 1996
NATIXIS SECURITIES AMERICAS LLC
September 26, 1995 - February 21, 1996
MILLER TABAK HIRSCH & CO.
March 14, 1994 - September 11, 1995
JOSEPHTHAL & CO., INC.
April 19, 1993 - January 3, 1994
REICH & CO., INC.
March 16, 1993 - May 5, 1993
MARTIN SIMPSON & COMPANY, INC.
May 25, 1988 - April 21, 1993
SALOMON BROTHERS 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
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.
