GW
Gregory L. Waters
ROTH CAPITAL PARTNERS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 3106202
GW
Professional summary
Gregory Leo Waters, who also goes by Gregory L Waters, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1998. Gregory has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gregory L Waters
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.
CRS (Client Relationship Summary) - BD
Click below to view Gregory Leo Waters's 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®
NoneExperience
Current
March 6, 2003 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660RIA
BD
CRD#: 15407
Newport Beach, CA
Past
November 9, 1999 - May 25, 2001
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 3, 1998 - July 20, 1999
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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
Arizona(7/26/2022)
RR
California(3/28/2003)
RR
Colorado(3/6/2025)
RR
Connecticut(6/18/2003)
RR
Florida(11/14/2018)
RR
Illinois(5/3/2019)
RR
Massachusetts(6/18/2003)
RR
New York(4/2/2003)
RR
Pennsylvania(10/29/2021)
RR
Texas(9/14/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/2/1998
Corporate Securities Limited Representative ExaminationSRO Registrations
RR
FINRA
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)
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.
