Sheila P. Slattery
Professional summary
Sheila Patricia Slattery, who also goes by Sheila Patricia Henry Ms., Sheila Patricia Henry, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.
Sheila is registered as a RR (Registered Representative) and started their career in finance in 1989. Sheila has worked at 9 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sheila Patricia Slattery's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 677 Washington Blvd. Suite 510, Stamford, CT 06901December 1, 2010 - January 31, 2023
MKM PARTNERS LLC
June 29, 2007 - December 2, 2010
SCHON-EX LLC
August 30, 2005 - December 19, 2006
SCHON-EX LLC
April 26, 2005 - January 5, 2010
SCHONFELD SECURITIES, LLC
July 1, 2004 - April 25, 2005
CREDIT AGRICOLE SECURITIES (USA) INC.
September 2, 1997 - October 13, 1997
SBC WARBURG DILLON READ INC.
October 22, 1996 - September 2, 1997
SBC WARBURG, INC.
April 15, 1993 - October 9, 1996
CITICORP SECURITIES, INC.
July 18, 1989 - September 23, 1992
CRESVALE INTERNATIONAL, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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