AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WF

William J. Forsyth

ROTH CAPITAL PARTNERS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 3179547
WF

Professional summary

William Joseph Forsyth, who also goes by Bill Forsyth, William Joseph Forsyth, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Boston, Massachusetts.

William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 13 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Forsyth | William Joseph Forsyth

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 William Joseph Forsyth'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®
None

Experience

Current

January 31, 2023 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 175 Federal Street Suite 860, Boston, MA 02210
RIA
BD
CRD#: 15407
Boston, MA
Past

May 4, 2022 - January 31, 2023

MKM PARTNERS LLC

BD
CRD#: 114666
BOSTON, MA
Past

July 21, 2021 - April 25, 2022

COLLIERS SECURITIES LLC

BD
CRD#: 7477
MINNEAPOLIS, MN
Past

February 23, 2016 - December 13, 2016

GWN SECURITIES INC.

BD
CRD#: 128929
Winthrop, MA
Past

November 4, 2014 - August 13, 2015

WM SMITH & CO.

BD
CRD#: 30777
GREENWOOD VILLAGE, CO
Past

October 8, 2013 - February 28, 2014

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

September 14, 2011 - June 7, 2012

AURIGA USA, LLC

BD
CRD#: 121731
BOSTON, MA
Past

October 15, 2009 - July 12, 2010

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
BOSTON, MA
Past

July 14, 2008 - September 30, 2009

SIDOTI & COMPANY, LLC

BD
CRD#: 102860
BOSTON, MA
Past

April 2, 2007 - July 16, 2008

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

August 29, 2005 - January 29, 2007

RYAN BECK & CO.

BD
CRD#: 3248
BOSTON, MA
Past

April 10, 2000 - September 12, 2005

C. L. KING & ASSOCIATES, INC.

BD
CRD#: 6183
ALBANY, NY
Past

April 30, 1999 - November 24, 1999

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR

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)
RR
Maryland
(2/28/2025)
RR
Massachusetts
(8/14/2024)
RR
New York
(2/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/20/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/1999
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
SHETH, SAGAR ARVINDCO-CHIEF EXECUTIVE OFFICER5209865

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#: 15407Boston, MA 02210

TRUST BUT VERIFY

Monitor William Forsyth

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Martin Lee Robbins II
Martin RobbinsAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Norwell, MA
TR
Tamara RoseAdvisorCheck Check Mark
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
RR
BOSTON, MA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics