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LM

Leo P. Mariani

ROTH CAPITAL PARTNERS
AUSTIN, TX 78733
Some features on this profile are disabled
CRD#: 3097623
LM

Professional summary

Leo Paul Mariani JR, CFA, who also goes by Leo P Mariani Jr, Leo Paul Mariani, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Austin, Texas.

Leo is registered as a RR (Registered Representative) and started their career in finance in 2000. Leo has worked at 8 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leo P Mariani Jr | Leo Paul Mariani

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 Leo Paul Mariani JR'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®
CFA

Chartered Financial Analyst

Experience

Current

January 31, 2023 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 9433 Bee Caves Road Suite 240, Austin, TX 78733
RIA
BD
CRD#: 15407
AUSTIN, TX
Past

June 21, 2022 - January 31, 2023

MKM PARTNERS LLC

BD
CRD#: 114666
AUSTIN, TX
Past

November 26, 2018 - June 23, 2022

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
HOUSTON, TX
Past

August 5, 2017 - November 27, 2018

NATALLIANCE SECURITIES, LLC

BD
CRD#: 39455
AUSTIN, TX
Past

February 29, 2008 - February 10, 2016

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
AUSTIN, TX
Past

August 29, 2006 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
AUSTIN, TX
Past

May 20, 2003 - August 28, 2006

JEFFERIES LLC

BD
CRD#: 2347
AUSTIN, TX
Past

November 9, 2000 - February 5, 2003

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

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)

Exams

State Security Law Exam
RR
Series 63
Date: 10/3/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/10/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/8/2000
General Securities Representative 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

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#: 15407Austin, TX 78733

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