Seth S. Appel
Professional summary
Seth Samuel Appel, who also goes by Seth S Appel, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Seth is registered as a RR (Registered Representative) and started their career in finance in 1994. Seth has worked at 9 firms and has passed the Series 63, Series 79TO, 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 Seth Samuel Appel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2026 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660September 26, 2025 - May 5, 2026
YORKVILLE SECURITIES, LLC
February 19, 2016 - September 5, 2025
B. RILEY SECURITIES, INC.
May 11, 2015 - December 3, 2019
MLV & CO. LLC
July 15, 2014 - May 11, 2015
USCA SECURITIES LLC
April 6, 2011 - July 16, 2014
MLV & CO. LLC
January 9, 2008 - April 4, 2011
MORGAN JOSEPH TRIARTISAN LLC
February 9, 2004 - January 9, 2008
MCMAHAN SECURITIES CO. L.P.
May 18, 1998 - February 2, 2004
KNIGHT CAPITAL MARKETS LLC
April 16, 1998 - May 8, 1998
KNIGHT CAPITAL MARKETS LLC
March 28, 1994 - April 16, 1998
BERNARD L. MADOFF INVESTMENT SECURITIES 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
(4/17/2026)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/27/1999
Limited Representative-Equity Trader ExamCboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
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 |
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.
