Brian Wright
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Wright, who also goes by Brian Michael Wright, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 11 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2021 - March 27, 2024
ROTH CAPITAL PARTNERS, LLC
March 27, 2018 - October 2, 2019
ICR CAPITAL LLC
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
August 26, 2014 - April 20, 2015
STERNE, AGEE & LEACH, INC.
January 13, 2012 - May 23, 2014
MONNESS CRESPI HARDT & CO., INC.
November 23, 2010 - August 11, 2011
CITADEL SECURITIES LLC
July 20, 2009 - November 3, 2010
CANACCORD GENUITY SECURITIES LLC
January 2, 2009 - May 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 2008 - January 2, 2009
BANC OF AMERICA SECURITIES LLC
June 7, 2006 - January 31, 2008
JEFFERIES LLC
September 27, 2000 - June 12, 2006
J.P. MORGAN SECURITIES 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
Exams
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
