JA

Jonathan Matthew Aschoff

RR
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

Jonathan Matthew Aschoff is a registered financial professional at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2000. Jonathan has worked at 8 firms and has passed the Series 63, Series 57TO, Series 16, SIE, Series 87, Series 86, Series 55 and Series 7 exams.

Disclosures
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Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
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Advisor Information

ADVISOR PROFILE
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (3)
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RR
California (11/5/2019)
RR
New Jersey (11/29/2019)
RR
New York (11/4/2019)
SRO REGISTRATIONS (3)
RR
Cboe BZX Exchange, Inc. APPROVED
RR
FINRA APPROVED
RR
Nasdaq Stock Market APPROVED

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYER
BD
ROTH CAPITAL PARTNERS, LLC (#15407)
888 San Clemente Suite 400, Newport Beach, CA, 92660
11/4/2019 - Current
PREVIOUS EMPLOYERS (7)
BD
NATIONAL SECURITIES CORPORATION (#7569)
9/26/2016 - 10/24/2019
New York, NY
BD
BREAN CAPITAL, LLC (#23723)
10/31/2005 - 9/27/2016
New York, NY
BD
BREAN MURRAY & CO., INC. (#7541)
9/19/2003 - 3/14/2006
New York, NY
BD
MAXIM GROUP LLC (#120708)
4/1/2003 - 8/26/2003
New York, NY
BD
FIRST NEW YORK SECURITIES L.L.C. (#16362)
11/15/2002 - 2/26/2003
New York, NY
BD
B. RILEY SECURITIES, INC. (#25027)
3/13/2001 - 8/14/2002
Los Angeles, CA
BD
RBC CAPITAL MARKETS, LLC (#31194)
10/18/2000 - 1/17/2001
New York, NY
JA
Claim Profile

Jonathan Matthew Aschoff

RR
Experience: 23 years / 8 firms
CRD#: 4220184


LOCATION
No current location data
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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