ROTH CAPITAL PARTNERS, LLC
Related Filers (2)
Other (51)
FOCUSN
Friday, 9/16/2022
None
X-17A-5
Tuesday, 9/6/2022
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 8/27/2021
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Friday, 8/28/2020
None
X-17A-5
Monday, 8/24/2020
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 8/28/2019
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Wednesday, 8/28/2019
None
FOCUSN
Thursday, 8/30/2018
None
X-17A-5
Thursday, 8/30/2018
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Tuesday, 8/29/2017
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
MA-I/A
Thursday, 6/15/2017
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
MA-W
Monday, 6/12/2017
Notice of Withdrawal from Registration as a Municipal Advisor
X-17A-5/A
Monday, 8/29/2016
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Monday, 8/29/2016
None
X-17A-5
Friday, 8/26/2016
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Monday, 8/31/2015
None
X-17A-5
Monday, 8/31/2015
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Monday, 8/31/2015
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Monday, 8/31/2015
None
MA
Thursday, 10/23/2014
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A)
MA-I
Thursday, 10/23/2014
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities, and Amendment of a Previously Submitted Form MA-I
FOCUSN
Thursday, 8/28/2014
None
X-17A-5
Thursday, 8/28/2014
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Wednesday, 8/28/2013
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Wednesday, 8/28/2013
None
X-17A-5
Wednesday, 8/29/2012
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Wednesday, 8/29/2012
None
X-17A-5
Monday, 8/29/2011
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Monday, 8/29/2011
None
X-17A-5
Friday, 8/27/2010
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Friday, 8/27/2010
None
X-17A-5/A
Wednesday, 10/21/2009
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 8/28/2009
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Friday, 8/28/2009
None
FOCUSN/A
Tuesday, 9/9/2008
None
X-17A-5/A
Tuesday, 9/9/2008
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Tuesday, 9/2/2008
None
X-17A-5
Tuesday, 9/2/2008
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Wednesday, 8/29/2007
None
X-17A-5
Wednesday, 8/29/2007
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN/A
Wednesday, 1/24/2007
None
FOCUSN
Tuesday, 8/29/2006
None
X-17A-5
Tuesday, 8/29/2006
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Monday, 8/29/2005
None
X-17A-5
Monday, 8/29/2005
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 8/27/2004
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Friday, 8/27/2004
None
X-17A-5
Tuesday, 9/2/2003
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Tuesday, 9/2/2003
None
X-17A-5
Thursday, 8/29/2002
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Thursday, 8/29/2002
None
Ownership (6)
4
Thursday, 5/28/2020
Roth CH Acquisition I Co: Statement of changes in beneficial ownership of securities
4/A
Thursday, 5/28/2020
Roth CH Acquisition I Co: Statement of changes in beneficial ownership of securities
4
Monday, 5/11/2020
Roth CH Acquisition I Co: Statement of changes in beneficial ownership of securities
3
Friday, 5/8/2020
Roth CH Acquisition I Co: Initial statement of beneficial ownership of securities
SC 13G/A
Thursday, 2/9/2017
Enerpulse Technologies, Inc.: Major Shareholders
SC 13G
Thursday, 3/5/2015
Enerpulse Technologies, Inc.: Major Shareholders