Gilad N. Ottensoser
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.
Gilad N Ottensoser, who also goes by Gil Otten, Gil Ottensoser, Gilad N Ottensoser, Gilad Ottensoser, was a registered financial professional .
Gilad is a previously registered financial professional and started their career in finance in 1992. Gilad had worked at 16 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2023 - July 10, 2025
ROTH CAPITAL PARTNERS, LLC
May 23, 2018 - May 10, 2023
BTIG, LLC
September 30, 2016 - May 25, 2018
SHOREBRIDGE CAPITAL SECURITIES, LLC
January 2, 2014 - August 23, 2016
LWPARTNERS CAPITAL GROUP LLC
June 18, 2013 - December 31, 2013
INDEPENDENT BROKERAGE SOLUTIONS LLC
December 21, 2007 - February 5, 2013
DEUTSCHE BANK SECURITIES INC.
October 14, 2002 - December 20, 2007
LEGEND MERCHANT GROUP, INC.
March 26, 2002 - October 16, 2002
JESUP & LAMONT SECURITIES CORP
May 27, 1997 - April 25, 2002
KC MAY SECURITIES CORP.
November 14, 1996 - May 27, 1997
THE THORNWATER COMPANY, L.P.
November 8, 1994 - November 11, 1996
GKN SECURITIES CORP.
September 26, 1994 - November 18, 1994
JOSEPHTHAL & CO., INC.
March 21, 1994 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
May 25, 1993 - March 28, 1994
WESTFIELD FINANCIAL CORPORATION
March 19, 1993 - May 4, 1993
ALLIED CAPITAL, INC.
February 22, 1993 - March 24, 1993
ADVANCED EQUITY GROUP, INC.
October 5, 1992 - March 24, 1993
ADVANCED EQUITY GROUP, 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 ExaminationSeries 55
Date: 3/1/2004
Limited Representative-Equity Trader ExamCurrent 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.
