JW
Firm Information
Compensation
Fixed/Hourly
Number of Advisors
8 advisors
Number of Clients
70 clients
Average Client Portfolio
Not specified
Fee Structure
This document does not contain any fee information. It is a brochure supplement providing information about the individuals covered.
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Advisor Information
Office location
888 SAN CLEMENTE DRIVE, Suite 400, Newport Beach, CA, 92660
Get directionsRegulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
November 1996Final
Employment History
Current Registrations
Roth Capital Partners, LLC
August 2001 - Present · 24 yrs 5 mos
Roth Capital Partners, LLC Broker
April 1995 - Present · 30 yrs 9 mos
Previous Registrations
Thomas James Associates, INC.Broker
June 1992 - March 1995 · 2 yrs 9 mos
Vestcorp Securities, INC.Broker
July 1990 - September 1990 · 2 mos
State Registrations44 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.