0000748532-14-000010.txt : 20141110
0000748532-14-000010.hdr.sgml : 20141110
20141110162721
ACCESSION NUMBER: 0000748532-14-000010
CONFORMED SUBMISSION TYPE: MA
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141023
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROTH CAPITAL PARTNERS, LLC
CENTRAL INDEX KEY: 0000748532
IRS NUMBER: 330947643
STATE OF INCORPORATION: CA
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: MA
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-01070
FILM NUMBER: 141209033
BUSINESS ADDRESS:
STREET 1: 888 SAN CLEMENTE
STREET 2: SUITE 400
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
BUSINESS PHONE: 949-720-5700
MAIL ADDRESS:
STREET 1: 888 SAN CLEMENTE
STREET 2: SUITE 400
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
FORMER COMPANY:
FORMER CONFORMED NAME: ROTH CAPITAL PARTNERS LLC /BD
DATE OF NAME CHANGE: 20020307
FORMER COMPANY:
FORMER CONFORMED NAME: ROTH CAPITAL PARTNERS INC /BD
DATE OF NAME CHANGE: 20010215
FORMER COMPANY:
FORMER CONFORMED NAME: CRUTTENDEN ROTH INC
DATE OF NAME CHANGE: 20000218
MA
1
primary_doc.xml
MA
0000748532
XXXXXXXX
Kristin LaMarche
949-720-7147
klamarche@roth.com
ROTH CAPITAL PARTNERS, LLC
000015407
33-0947643
866-01551-00
008-32129
000015407
000015407
CA
888 SAN CLEMENTE
SUITE 400
NEWPORT BEACH
CA
92660
949-720-5700
N
888 SAN CLEMENTE
SUITE 400
NEWPORT BEACH
CA
92660
www.roth.com
Kristin
Diane
LaMarche
888 San Clemente
Suite 400
Newport Beach
CA
92660
949-720-7147
949-720-7247
klamarche@roth.com
Add
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
One Bryant Park
New York
NY
10036
877-333-9183
Clearing firm - MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED IS ROTH CAPITAL PARTNERS, LLC'S FULLY DISCLOSED CLEARING FIRM AND AS SUCH CERTAIN ACCOUNTS, FUNDS, OR SECURITIES OF ROTH ARE HELD OR MAINTAINED BY OUR CLEARING FIRM.
Grow Partners, LLC
Y
SEC
801-79554
Cortina Asset Management, Inc.
Y
SEC
801-63006
EAM Investors, LLC
Y
SEC
801-70305
June
CA
01-10-2001
N
100
1
1
0
0
2
Municipal Entities
0
2
2
Colleges
Other
Municipalities
Other
transaction fees from investment of proceeds
Not Applicable
Advice Investment Of Proceeds MS
Advice ME Other Investments
Y
Y
N
0
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
CR Financial Holdings, Inc.
N
33-0914744
Member
12-01-2008
E
Y
Jonathan
Andrew
Mork
Manager
02-01-2001
NA
Y
Nazan
NMN
Akdeniz
ROSFP
06-01-2008
NA
N
002522215
Richard
lawrence
Platt
General Counsel
12-08-1997
NA
N
002059118
Byron
Clarence
Roth
CEO
02-01-2001
NA
Y
001768553
Gordon
James
Roth
CFO/FINOP/COO/Manager
06-09-2000
NA
Y
003167226
Theodore
David
roth
President
01-01-2003
NA
Y
004615931
Kristin
Diance
LaMarche
Chief Compliance Officer
10-19-2011
NA
N
002582393
CR Financial Holdings, Inc.
Byron
Clarence
Roth
Shareholder
01-01-2000
E
Y
001768553
Add
CR Financial Holdings, Inc.
N
33-0914744
Member
12-01-2008
E
Y
Add
Jonathan
Andrew
Mork
Manager
02-01-2001
NA
Y
Add
Nazan
NMN
Akdeniz
ROSFP
06-01-2008
NA
N
002522215
Add
Richard
lawrence
Platt
General Counsel
12-08-1997
NA
N
002059118
Add
Byron
Clarence
Roth
CEO
02-01-2001
NA
Y
001768553
Add
Gordon
James
Roth
CFO/FINOP/COO/Manager
06-09-2000
NA
Y
003167226
Add
Theodore
David
roth
President
01-01-2003
NA
Y
004615931
Add
Kristin
Diance
LaMarche
Chief Compliance Officer
10-19-2011
NA
N
002582393
Add
CR Financial Holdings, Inc.
Byron
Clarence
Roth
Shareholder
01-01-2000
E
Y
001768553
9-D2
Roth Capital Partners, LLC
000015407
120405
9-E2
Roth Capital Partners, LLC
000015407
1644726
9-E2
Roth Capital Partners, LLC
000015407
1644733
9-E2
Roth Capital Partners, LLC
000015407
1635180
9-E2
Roth Capital Partners, LLC
000015407
1502232
9-E2
Roth Capital Partners, LLC
000015407
1501241
9-E2
Roth Capital Partners, LLC
000015407
1127455
9-E2
Roth Capital Partners, LLC
000015407
1057939
9-E2
Roth Capital Partners, LLC
000015407
1026900
9-E2
Roth Capital Partners, LLC
000015407
704942
9-E2
Roth Capital Partners, LLC
000015407
120403
9-E2
120402
000015407
120402
9-E2
Roth Capital Partners, LLC
000015407
120404
9-E2
Roth Capital Partners, LLC
000015407
120401
Kristin LaMarche
Kristin LaMarche
Chief Compliance Officer
10-23-2014
000015407
N
N
N
N
N
Y
N
N
N
N
Y
N
Y
N
N
N
N
N
Y
N