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Current Employers
Roth Capital Partners, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-28
CA RA APPROVED 2005-10-07
  • FL RA
    APPROVED
    Since 2024-06-28
  • CA RA
    APPROVED
    Since 2005-10-07

Branch Locations

888 San Clemente Drive, Suite 400, Newport Beach, CA 92660 • 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
Roth Capital Partners, Llc Newport Beach CA 06/2006 Present
Other Businesses

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: COO Start Date of Relationship: 08/20/2025 Approximate number of hours/month devoted to the business: 10 Approximate number of hours/month devoted to the business during securities trading hours: 5 Duties: Execution of ELOC Name of Business: RoHo Capital Opportunity Fund Investment Related: Yes Business Address: 312 Farmington Avenue, Farmington, Connecticut, 06032 Nature of Business : Entity will provide growth capital financing solutions to small- and micro-cap public companies based primarily in the U.S. Position /Title: Vice President Start Date of Relationship: 04/02/2026 Approximate number of hours/month devoted to the business: 20 Approximate number of hours/month devoted to the business during securities trading hours: 20 Duties: Interact with issuer clients to describe facility.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-19
S63 Uniform Securities Agent State Law Examination 1995-05-15
  • S65 Uniform Investment Adviser Law Examination
    1998-05-19
  • S63 Uniform Securities Agent State Law Examination
    1995-05-15
Other Names
  • Nazan Kireclik

View on SEC IAPD

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