TR
Theodore D. Roth
ROTH CAPITAL PARTNERS
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 4615931
TR
Professional summary
Theodore David Roth, who also goes by Ted Roth, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in San Francisco, California.
Theodore is registered as a RR (Registered Representative) and started their career in finance in 2016. Theodore has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ted Roth
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Theodore David Roth's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2003 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 50 California Street 1500, San Francisco, CA 94111Office #2: 452 Fifth Ave. 23rd Floor, New York, NY 10018Office #3: 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660RIA
BD
CRD#: 15407
San Francisco, CA
Past
April 22, 2016 - October 12, 2017
RLJ CAPITAL MARKETS, LLC
BD
CRD#: 281119
BETHESDA, MD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/10/2012)
RR
Alaska(10/10/2012)
RR
Arizona(10/10/2012)
RR
Arkansas(10/10/2012)
RR
California(4/21/2003)
RR
Colorado(10/10/2012)
RR
Connecticut(8/27/2012)
RR
Delaware(10/10/2012)
RR
District of Columbia(10/10/2012)
RR
Florida(10/10/2012)
RR
Georgia(10/10/2012)
RR
Hawaii(10/10/2012)
RR
Idaho(10/10/2012)
RR
Illinois(10/10/2012)
RR
Indiana(10/10/2012)
RR
Iowa(10/10/2012)
RR
Kansas(10/10/2012)
RR
Kentucky(10/10/2012)
RR
Louisiana(10/10/2012)
RR
Maine(1/30/2015)
RR
Maryland(10/10/2012)
RR
Massachusetts(10/10/2012)
RR
Michigan(10/10/2012)
RR
Minnesota(10/10/2012)
RR
Mississippi(10/10/2012)
RR
Missouri(10/10/2012)
RR
Montana(10/10/2012)
RR
Nebraska(10/10/2012)
RR
Nevada(10/10/2012)
RR
New Hampshire(10/10/2012)
RR
New Jersey(10/10/2012)
RR
New Mexico(10/10/2012)
RR
New York(8/27/2012)
RR
North Carolina(10/10/2012)
RR
North Dakota(10/10/2012)
RR
Ohio(10/10/2012)
RR
Oklahoma(10/10/2012)
RR
Oregon(10/10/2012)
RR
Pennsylvania(10/10/2012)
RR
Rhode Island(10/10/2012)
RR
South Carolina(10/10/2012)
RR
South Dakota(10/10/2012)
RR
Tennessee(10/10/2012)
RR
Texas(10/10/2012)
RR
Utah(10/10/2012)
RR
Vermont(10/10/2012)
RR
Virginia(10/10/2012)
RR
Washington(10/10/2012)
RR
West Virginia(10/10/2012)
RR
Wisconsin(3/21/2012)
RR
Wyoming(10/10/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RC
ROTH CAPITAL PARTNERS, LLC
CDB SECURITIES, INC. | ROTH CAPITAL PARTNERS, LLC | ROTH CAPITAL PARTNERS, INC. | CRUTTENDEN ROTH INCORPORATED | CRUTTENDEN & COMPANY | CRUTTENDEN & CO., INC.
CRD#: 15407 / SEC#: , 8-32129
California
Registered Investment Advisory firm - SEC (5/7/2001 Approved)Florida
Registered Investment Advisory firm - SEC (6/28/2024 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
888 San Clemente Suite 400, Newport Beach, CA 92660
Mailing Address
888 San Clemente Suite 400, Newport Beach, CA 92660
Phone number
(949) 720-5700
Established
California since 01/10/2001
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
10
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.
