John A. Foley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Amos Foley, who also goes by John A Foley, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2020 - May 26, 2020
ROTH CAPITAL PARTNERS, LLC
June 6, 2019 - February 10, 2020
ARCADIA SECURITIES, LLC
October 27, 2014 - February 14, 2018
BTIG, LLC
December 10, 2008 - October 24, 2014
BARRINGTON RESEARCH ASSOCIATES, INC.
April 18, 2008 - December 1, 2008
ADVANCED EQUITIES, INC.
January 24, 2008 - April 11, 2008
ROTH CAPITAL PARTNERS, LLC
April 7, 2004 - January 15, 2008
OPPENHEIMER & CO. INC.
April 9, 2001 - April 16, 2004
KEYBANC CAPITAL MARKETS INC.
April 5, 2000 - April 26, 2001
MORGAN KEEGAN & COMPANY, LLC
July 8, 1999 - April 18, 2000
FERRIS, BAKER WATTS, LLC
September 1, 1998 - June 9, 1999
ROBERTSON STEPHENS, INC.
April 7, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
March 2, 1998 - April 7, 1998
RBC CAPITAL MARKETS, LLC
September 18, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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.
