Richard M. Niehuser
Professional summary
Richard Michael Niehuser, who also goes by Mike Niehuser, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Niehuser's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2021 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660September 2, 2020 - October 25, 2021
R. F. LAFFERTY & CO., INC.
January 15, 2014 - September 17, 2020
SCARSDALE EQUITIES LLC
November 11, 2003 - November 7, 2005
THE ROBINS GROUP LLC
February 12, 2002 - December 16, 2002
DIGITALOFFERING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/10/2021)
(11/10/2021)
Exams
FINRA
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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