Richard K. Baldry
Professional summary
Richard Kenneth Baldry, who also goes by Rich Baldry, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Kenneth Baldry's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2013 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660August 5, 2011 - October 21, 2013
B. RILEY WEALTH MANAGEMENT
July 19, 2010 - August 4, 2011
SIGNAL HILL CAPITAL GROUP LLC
July 24, 2007 - May 14, 2010
CANACCORD GENUITY LLC
April 5, 2005 - July 2, 2007
GLEACHER & COMPANY SECURITIES, INC.
May 27, 2003 - March 31, 2005
ROTH CAPITAL PARTNERS, LLC
September 28, 1999 - May 22, 2003
EMERGING GROWTH EQUITIES, LTD.
January 20, 1999 - August 24, 1999
INVESTEC INC.
August 17, 1995 - June 23, 1998
AMERIPRISE ADVISOR SERVICES, 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
(10/23/2013)
(10/23/2013)
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.
