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888 San Clemente Drive, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2013-10-08 |
Branch Locations
888 San Clemente Suite 400, Newport Beach, CA 92660 • UNITED STATES
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Roth Capital Partners, Llc | Newport Beach | CA | 10/2013 | Present |
Name of Business: Roth Principal Investments, LLC Investment Related: Yes Business Address: 2340 Collins Avenue, Suite 402 Miami Beach, FL 33139 Nature of Business: Provide Equity Lines of Credit ("ELOC") to issuers/ELOC investors Position /Title: Origination Officer Start Date of Relationship: 12/15/2025 Approximate number of hours/month devoted to the business: 5 Approximate number of hours devoted to the business during securities trading hours: 5 Duties: Identify companies that are candidates for an ELOC facility
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-01-04 |
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