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ST

Steven S. Tripp

ROTH CAPITAL PARTNERS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2560642
ST

Professional summary

Steven Scott Tripp is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Scott Tripp's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 13, 2025 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 677 Washington Blvd. Suite 510, Stamford, CT 06901
RIA
BD
CRD#: 15407
Stamford, CT
Past

May 23, 2022 - December 12, 2024

ZANBATO SECURITIES LLC

BD
CRD#: 279028
MOUNTAIN VIEW, CA
Past

November 1, 2013 - May 18, 2022

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

BD
CRD#: 329
SEATTLE, WA
Past

February 24, 2005 - November 5, 2012

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

June 17, 2004 - March 2, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 21, 2003 - January 22, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

September 30, 2002 - February 26, 2003

INVESTEC INC.

BD
CRD#: 18553
NEW YORK, NY
Past

September 1, 1998 - August 19, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

October 1, 1997 - September 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

August 14, 1996 - October 1, 1997

ROBERTSON, STEPHENS & COMPANY LLC

BD
CRD#: 7730
SAN FRANCISCO, CA
Past

August 29, 1995 - June 3, 1996

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

January 31, 1995 - March 27, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

January 31, 1995 - March 27, 1995

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/13/2025)
RR
Connecticut
(1/13/2025)
RR
New York
(1/28/2025)
RR
Utah
(1/13/2025)
RR
Washington
(1/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/28/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/30/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/2009
General Securities Principal Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RC
ROTH CAPITAL PARTNERS, LLC
CDB SECURITIES, INC. | ROTH CAPITAL PARTNERS, LLC | ROTH CAPITAL PARTNERS, INC. | CRUTTENDEN ROTH INCORPORATED | CRUTTENDEN & COMPANY | CRUTTENDEN & CO., INC.

CRD#: 15407 / SEC#: , 8-32129

California
Registered Investment Advisory firm - SEC (5/7/2001 Approved)
Florida
Registered Investment Advisory firm - SEC (6/28/2024 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
888 San Clemente Suite 400, Newport Beach, CA 92660
Mailing Address
888 San Clemente Suite 400, Newport Beach, CA 92660
Phone number
(949) 720-5700
Established
California since 01/10/2001
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
10

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CR FINANCIAL HOLDINGS, INC.MEMBER
AKDENIZ, NAZANCOO2522215
GUREWITZ, AARON MICHAELCO-CHIEF EXECUTIVE OFFICER2244273
LAMARCHE, KRISTIN DIANECHIEF COMPLIANCE OFFICER2582393
MORK, JONATHAN ANDREWMANAGER4349125
PANAGIOTIDIS, ALEXROSFP4582559
PLATT, RICHARD LGENERAL COUNSEL2059118
ROTH, BYRON CLARENCECHAIRMAN/MANAGER1768553
ROTH, GORDON JAMESCHIEF FINANCIAL OFFICER/FINOP/MANAGER3167226
ROTH, THEODORE DAVIDVICE CHAIRMAN4615931
SHETH, SAGAR ARVINDCO-CHIEF EXECUTIVE OFFICER5209865

Disclosures

Regulatory Event16
Arbitration12

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.

Company Information

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407Stamford, CT 06901

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