Alexander T. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alexander Tristan Smith, who also goes by Alexander Smith, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2022. Alexander had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2022 - September 22, 2025
ROTH CAPITAL PARTNERS, LLC
April 10, 2022 - April 19, 2022
EQUITABLE ADVISORS, 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
Exams
Series 7TO
Date: 4/9/2022
General Securities Representative ExaminationCurrent 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
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.
