Alex Panagiotidis
Professional summary
Alex Panagiotidis, who also goes by Alex Panagiotidis Mr, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.
Alex is registered as a RR (Registered Representative) and started their career in finance in 2002. Alex has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 87, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alex Panagiotidis's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 677 Washington Blvd. Suite 510, Stamford, CT 06901September 6, 2018 - January 31, 2023
MKM PARTNERS LLC
July 11, 2016 - October 4, 2018
ROBERT W. BAIRD & CO. INCORPORATED
April 20, 2015 - July 5, 2016
CRT CAPITAL GROUP LLC
May 26, 2010 - April 20, 2015
STERNE, AGEE & LEACH, INC.
June 15, 2009 - May 20, 2010
FIRST BROKERS SECURITIES LLC
November 10, 2008 - June 18, 2009
LINKBROKERS DERIVATIVES LLC
May 29, 2008 - November 6, 2008
FIRST BROKERS SECURITIES LLC
April 16, 2007 - December 3, 2007
BNP PARIBAS SECURITIES CORP.
October 22, 2002 - April 12, 2007
CITIGROUP GLOBAL MARKETS 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
(2/26/2025)
(2/27/2025)
(1/31/2023)
(8/9/2024)
(2/26/2025)
(7/23/2024)
(2/27/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/23/2002
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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