Scott W. Searle
Professional summary
Scott Wallace Searle is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1993. Scott has worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Wallace Searle's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2017 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 452 Fifth Ave. 23rd Floor, New York, NY 10018February 15, 2017 - November 21, 2017
THE BENCHMARK COMPANY, LLC
October 20, 2011 - February 17, 2012
B. RILEY & CO., LLC
December 3, 2009 - October 18, 2011
MERRIMAN CAPITAL, INC.
August 30, 2000 - August 26, 2002
COWEN AND COMPANY
September 16, 1999 - June 22, 2000
RBC CAPITAL MARKETS, LLC
June 22, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 13, 1995 - May 18, 1999
UBS SECURITIES LLC
March 22, 1993 - December 21, 1994
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/7/2017)
(11/7/2017)
Exams
FINRA
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
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.
