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