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AL

Alec B. Levine

ROTH CAPITAL PARTNERS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2695779
AL

Professional summary

Alec Benjamin Levine, who also goes by Alec B Levine, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.

Alec is registered as a RR (Registered Representative) and started their career in finance in 2003. Alec has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alec B Levine

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 Alec Benjamin Levine'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 31, 2023 - Present

ROTH CAPITAL PARTNERS, LLC

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

February 11, 2019 - January 31, 2023

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

June 5, 2014 - January 16, 2019

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEW YORK, NY
Past

June 24, 2011 - April 30, 2014

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

November 11, 2009 - June 22, 2011

WALLACHBETH CAPITAL LLC

BD
CRD#: 147853
BOCA RATON, FL
Past

April 28, 2008 - November 18, 2009

SARATOGA CAPITAL MARKETS

BD
CRD#: 120888
NEW YORK, NY
Past

December 12, 2007 - April 18, 2008

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
NEW YORK, NY
Past

January 16, 2007 - April 2, 2007

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

June 5, 2006 - March 6, 2007

E. H. SMITH JACOBS & CO., INC.

BD
CRD#: 3429
NEW YORK, NY
Past

April 17, 2006 - January 16, 2007

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

April 17, 2006 - April 30, 2008

ON POINT EXECUTIONS, LLC

BD
CRD#: 132390
NEW YORK, NY
Past

February 14, 2005 - April 7, 2006

DIVINE CAPITAL MARKETS LLC

BD
CRD#: 118212
NEW YORK, NY
Past

November 2, 2004 - April 17, 2006

ALFRED R. MINAFO, INC.

BD
CRD#: 104373
NEW YORK, NY
Past

September 26, 2003 - October 14, 2004

ABL TRADING, L.L.C.

BD
CRD#: 115608
EDGEWATER, NJ

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
Connecticut
(1/31/2023)
RR
Illinois
(7/23/2024)
RR
New York
(1/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/2005
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: 3/19/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/6/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/7/2007
Registered Options Principal Examination
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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