William J. Kirk
Professional summary
William Joseph Kirk, CFA, who also goes by William Kirk, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Austin, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 2010. William has worked at 4 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Joseph Kirk's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 9433 Bee Caves Road Suite 240, Austin, TX 78733June 19, 2019 - January 31, 2023
MKM PARTNERS LLC
July 15, 2013 - February 12, 2019
RBC CAPITAL MARKETS, LLC
August 17, 2010 - July 10, 2013
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/31/2023)
Exams
FINRA
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
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