Jonathan M. Aschoff
Professional summary
Jonathan Matthew Aschoff is a registered financial professional currently 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Matthew Aschoff's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2019 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660September 26, 2016 - October 24, 2019
NATIONAL SECURITIES CORPORATION
October 31, 2005 - September 27, 2016
BREAN CAPITAL, LLC
September 19, 2003 - March 14, 2006
BREAN MURRAY & CO., INC.
April 1, 2003 - August 26, 2003
MAXIM GROUP LLC
November 15, 2002 - February 26, 2003
FIRST NEW YORK SECURITIES L.L.C.
March 13, 2001 - August 14, 2002
B. RILEY SECURITIES, INC.
October 18, 2000 - January 17, 2001
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/5/2019)
(11/29/2019)
(11/4/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/12/2002
Limited Representative-Equity Trader ExamCboe BZX Exchange, Inc.
FINRA
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
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