David S. Parsons
Professional summary
David Stephen Parsons is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC .
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 6 firms and has passed the Series 63, SIE, Series 37, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Stephen Parsons's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2026 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 130 King St. West 19th Floor, Toronto, M5X-2A2December 4, 2023 - October 14, 2025
DESJARDINS SECURITIES INTERNATIONAL INC.
October 22, 2020 - October 11, 2023
ATB CAPITAL MARKETS USA INC.
August 8, 2011 - June 11, 2020
CANACCORD GENUITY LLC
January 12, 1999 - May 4, 2001
PORTIGON SECURITIES INC.
October 17, 1997 - August 20, 1998
BARCLAYS CAPITAL 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
(7/2/2026)
(7/2/2026)
Exams
Series 37
Date: 8/5/2011
Canada Module of the General Securities Registered Representative (With Options Questions)Cboe 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
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