Richard A. Brown
Professional summary
Richard Alan Brown JR, who also goes by Richard A Brown, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Brown JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660December 19, 2011 - January 31, 2023
MKM PARTNERS LLC
June 16, 2010 - August 25, 2011
GLEACHER & COMPANY SECURITIES, INC.
August 28, 2002 - June 25, 2010
BROADPOINT AMTECH, INC.
March 9, 1995 - June 28, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
February 7, 1992 - February 6, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/31/2023)
(1/31/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/13/2002
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
NYSE Arca, Inc.
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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