Fred A. Pisapia
Professional summary
Fred A Pisapia, who also goes by Fred A. Pisapia Jr., is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Austin, Texas.
Fred is registered as a RR (Registered Representative) and started their career in finance in 2000. Fred has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Fred A Pisapia's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 9433 Bee Caves Road Suite 240, Austin, TX 78733February 7, 2017 - January 31, 2023
MKM PARTNERS LLC
September 1, 2010 - January 11, 2017
TD PRIME SERVICES LLC
September 28, 2006 - August 20, 2010
FAGENSON & CO., INC.
November 8, 2004 - September 29, 2006
MIDWOOD SECURITIES, INC.
May 9, 2001 - November 5, 2004
INSTITUTIONAL EDGE, L.L.C.
August 7, 2000 - April 24, 2001
BGC FINANCIAL, L.P.
May 3, 2000 - August 7, 2000
ROYAL HUTTON SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/27/2025)
(1/31/2023)
(2/27/2025)
(6/25/2024)
(2/27/2025)
(1/31/2023)
(2/27/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/8/2000
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq Stock Market
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.
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