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JR

Joseph G. Reagor

ROTH CAPITAL PARTNERS
Las Vegas, NV
Some features on this profile are disabled
CRD#: 5740129
JR

Professional summary

Joseph George Reagor is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in Las Vegas, Nevada.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Joseph has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 86, Series 7 and Series 24 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph George Reagor's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph George Reagor's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 19, 2013 - Present

ROTH CAPITAL PARTNERS, LLC

RIA
BD
CRD#: 15407
Las Vegas, NV
Current

September 18, 2013 - Present

ROTH CAPITAL PARTNERS, LLC

RIA
BD
CRD#: 15407
Las Vegas, NV
Past

April 24, 2012 - July 15, 2013

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
COSTA MESA, CA
Past

April 22, 2010 - November 26, 2012

JOHN C. TUMAZOS

RIA
CRD#: 144842
TITUSVILLE, FL

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
(9/18/2013)
IAR
California
(9/19/2013)
RR
Nevada
(3/27/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 5/8/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/21/2010
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 7/31/2012
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 7/5/2012
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 4/23/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/2015
General Securities Principal Examination
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CR FINANCIAL HOLDINGS, INC.MEMBER
AKDENIZ, NAZANCOO2522215
GUREWITZ, AARON MICHAELCO-CHIEF EXECUTIVE OFFICER2244273
LAMARCHE, KRISTIN DIANECHIEF COMPLIANCE OFFICER2582393
MORK, JONATHAN ANDREWMANAGER4349125
PANAGIOTIDIS, ALEXROSFP4582559
PLATT, RICHARD LGENERAL COUNSEL2059118
ROTH, BYRON CLARENCECHAIRMAN/MANAGER1768553
ROTH, GORDON JAMESCHIEF FINANCIAL OFFICER/FINOP/MANAGER3167226
ROTH, THEODORE DAVIDVICE CHAIRMAN4615931

Disclosures

Regulatory Event16
Arbitration12

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.

Company Information

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407Las Vegas, NV

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