JF
Jacob E. Frank
ROTH CAPITAL PARTNERS
Newport Beach, CA 92660
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CRD#: 5477225
JF
Professional summary
Jacob Egan Frank is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jacob has worked at 2 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) Jamboree Food Innovations, Inc. - Not Investment related - 4533 MacArthur Blvd, Suite A-2002 Newport Beach, CA 92660. Nature of the business is to provide organic pudding products. My title is Partner as of January 2018. I devote approximately 6-10 hours per month during non-securities trading hours. My duties are to advise business/ partners on various topics, including product formulation, supply chain and marketing. (2) M12 Enterprises, LLC - not investment related - 360 E. 1st St. #2014 - Tustin, CA 92780 - marketing of beverage products - advisor co-founder - 9/24/2019 - <5 hours a month - general advisory. (3) 8385 Holdings, LLC - holding company for single investment M12 Enterprises, LLC. - Passive investor - 9/24/2019 - <5 hours a month. (4) ROTH Canada, Inc. (An affiliate of ROTH Capital Partners) - Investment Related - Address: 130 King Street, Suite # 1909 Toronto, ON M5X 1E3, Canada - Nature of Business : Investment Bank/Broker dealer in Canada - Position/Title : Investment Banker - Start Date : 11/30/2020 - Approx. # of hours per month devoted to ROTH Canada : 20 - Approx. # of hours per month devoted to ROTH Canada during securities trading hours: 20 - Duties : Capital raising and M&A activities in Canada (5) Preface Financial Partners - Not Investment Related - 1131 La Limonar Rd., Santa Ana, CA 92705 - Nature of the other business : Wife's CPA Business (Accounting Advisory) - Title/Position/Relationship: Co-Founder - Start date of relationship : October 2022- Approximate hours/month devoted to the other business: 1-5 - Number of hours devoted to the other business during securities trading hours : 0 Duties: Advisor to the management team on strategy & services provided.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Egan Frank's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob Egan Frank'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
April 13, 2012 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Drive, Newport Beach, CA 92660RIA
BD
CRD#: 15407
Newport Beach, CA
Current
April 13, 2012 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660RIA
BD
CRD#: 15407
Newport Beach, CA
Past
March 24, 2008 - July 20, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ANAHEIM, CA
Past
March 5, 2008 - July 20, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ANAHEIM, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(4/13/2012)
IAR
California(4/13/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
