Paul R. Hobson
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.
Paul Roderick Hobson, who also goes by Paul R Hobson, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1992. Paul had worked at 9 firms and has passed the Series 66, Series 63, SIE, 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
January 31, 2023 - May 18, 2023
ROTH CAPITAL PARTNERS, LLC
May 17, 2021 - January 31, 2023
MKM PARTNERS LLC
September 16, 2013 - March 23, 2021
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 23, 2010 - September 23, 2013
GUGGENHEIM SECURITIES, LLC
September 11, 2008 - November 21, 2008
G-2 TRADING,LLC
January 24, 2006 - August 12, 2008
MORGAN KEEGAN & COMPANY, LLC
November 2, 2000 - August 12, 2008
MORGAN KEEGAN & COMPANY, LLC
May 16, 1997 - November 6, 2000
TUCKER ANTHONY INCORPORATED
April 15, 1993 - May 8, 1997
FLEET SECURITIES INC.
June 22, 1992 - July 22, 1992
HIBBARD BROWN & CO., 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.
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