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BS

Bruce M. Silverman

ROTH CAPITAL PARTNERS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2592275
BS

Professional summary

Bruce Martin Silverman is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 1996. Bruce has worked at 7 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 4, Series 53 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 Bruce Martin Silverman'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

May 8, 2017 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660
RIA
BD
CRD#: 15407
Newport Beach, CA
Past

August 3, 2016 - June 20, 2017

WESTPARK CAPITAL, INC.

RIA
CRD#: 39914
Irvine, CA
Past

August 2, 2016 - June 20, 2017

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
Irvine, CA
Past

December 1, 2010 - August 2, 2016

NEWPORT COAST SECURITIES, INC.

RIA
CRD#: 16944
IRVINE, CA
Past

December 1, 2010 - August 2, 2016

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
IRVINE, CA
Past

August 14, 2007 - September 15, 2010

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

August 10, 2006 - June 15, 2007

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
NEW YORK, NY
Past

September 22, 1998 - August 15, 2006

HFP CAPITAL MARKETS LLC

BD
CRD#: 44351
NEW YORK, NY
Past

January 1, 1996 - December 12, 1996

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

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
(5/8/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/1996
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/29/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/28/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/27/2016
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/30/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/2006
General Securities Principal Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
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#: 15407Newport Beach, CA 92660

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