Best Investors Account Sign in

Cory Brian Finke

Roth Capital Partners, LLC

Chicago, IL

Stamford, CT

Claim This Profile
Current Employers
Roth Capital Partners, Llc

888 San Clemente Drive, Newport Beach, CA 92660 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-23
  • CA RA
    APPROVED
    Since 2025-09-23

Branch Locations

141 W. Jackson Street Suite 3050, Chicago, IL 60604 • United States

1 Station Place Suite 530, Stamford, CT 06902 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Downers Grove IL 01/2016 04/2017
Northern Trust Securities, Inc. Chicago IL 04/2017 09/2025
Roth Capital Partners, Llc Newport Beach CA 09/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-02
  • S66 Uniform Combined State Law Examination
    2016-05-02
Other Names
  • Cory B Finke

View on SEC IAPD

More in Chicago, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor