Michael J. Sullivan
Professional summary
Michael James Sullivan, who also goes by Michael Michael Sullivan, is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2026. Michael has worked at 1 firm and has passed the Series 79TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael James Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2026 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 141 W. Jackson Street Suite 3050, Chicago, IL 60604State 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 79TO
Date: 5/13/2026
Investment Banking Registered Representative ExaminationFINRA
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 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Red Flags
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