Cory B. Finke

ROTH CAPITAL PARTNERS

Chicago, IL 60604

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CRD#: 6497142

Professional summary

Cory Brian Finke, CFP®, who also goes by Cory B Finke, is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in Chicago, Illinois.

Cory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Cory has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cory B Finke

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 Cory Brian Finke's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Cory Brian Finke'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®

CFP^®

Certified Financial Planner

Experience

Current

September 23, 2025 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 141 W. Jackson Street Suite 3050, Chicago, IL 60604

RIA

CRD#: 15407

Chicago, IL

Current

September 22, 2025 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 141 W. Jackson Street Suite 3050, Chicago, IL 60604

RIA

CRD#: 15407

Chicago, IL

Past

April 11, 2017 - September 22, 2025

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

CHICAGO, IL

Past

April 11, 2017 - September 22, 2025

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

March 4, 2016 - April 11, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DOWNERS GROVE, IL

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.

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

California
(9/22/2025)

IAR

California
(9/23/2025)

Connecticut
(9/22/2025)

Illinois
(9/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/2/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/31/2020

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

ROTH CAPITAL PARTNERS, LLC

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)

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

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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.

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Firm Stability Insights

Cory B. Finke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Brian Finke's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Cory Brian Finke's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTH CAPITAL PARTNERS, LLC

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2016

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2016

Series 4

Date: 1/31/2020

FINRA

Current Firm

ROTH CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTH CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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