Anton J. Brenner
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.
Anton Joseph Brenner, who also goes by Tony Brenner, was a registered financial professional .
Anton is a previously registered financial professional and started their career in finance in 1972. Anton had worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 16, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2001 - January 23, 2017
ROTH CAPITAL PARTNERS, LLC
June 11, 1998 - October 11, 2000
ROTH CAPITAL PARTNERS, LLC
April 13, 1993 - May 6, 1998
UBS SECURITIES LLC
October 3, 1990 - March 17, 1993
FIRST MANHATTAN SECURITIES LLC
March 12, 1986 - February 12, 1991
ALTMAN, BRENNER & WASSERMAN, INC.
May 14, 1975 - January 6, 1986
DEUTSCHE BANK SECURITIES INC.
April 26, 1974 - June 5, 1975
MOSELEY, HALLGARTEN & ESTABROOK INC.
May 4, 1972 - April 26, 1974
HALLGARTEN & CO.
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
Series 1
Date: 5/1/1972
Registered Representative ExaminationCurrent 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
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