William T. Gibson
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.
William Tennent Gibson, who also goes by William Tennant Gibson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 13 firms and has passed the Series 63, SIE, Series 87, Series 7 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
February 11, 2015 - February 20, 2020
ROTH CAPITAL PARTNERS, LLC
May 4, 2012 - February 4, 2015
NATIONAL SECURITIES CORPORATION
April 11, 2012 - April 20, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
August 23, 2011 - May 10, 2012
LEGEND MERCHANT GROUP, INC.
August 27, 2010 - August 1, 2011
ANDERSON & STRUDWICK, INCORPORATED
September 9, 2003 - June 19, 2009
NOLLENBERGER CAPITAL PARTNERS INC.
April 27, 2000 - July 21, 2003
BANC OF AMERICA SECURITIES LLC
November 18, 1991 - March 9, 2000
ROTH CAPITAL PARTNERS, LLC
March 28, 1991 - September 23, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1985 - October 25, 1990
SUTRO & CO. INCORPORATED
October 1, 1982 - October 10, 1983
DAVIS, SKAGGS & CO., INC.
September 15, 1982 - September 27, 1985
LEHMAN BROTHERS INC.
December 16, 1981 - August 23, 1982
SUTRO & CO. INCORPORATED
November 8, 1978 - November 6, 1981
CHARLES SCHWAB & CO., INC.
August 2, 1978 - October 25, 1978
DAVIS, SKAGGS & CO., INC.
December 1, 1976 - April 27, 1978
SAN FRANCISCO INVESTMENT CORPORATION
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
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
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.
