JR
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, Suite 400, Newport Beach, CA, 92660
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Roth Capital Partners, LLC
September 2013 - Present · 12 yrs 4 mos
Roth Capital Partners, LLC Broker
September 2013 - Present · 12 yrs 4 mos
Previous Registrations
Global Hunter Securities, LLCBroker
April 2012 - July 2013 · 1 yr 3 mos
John C. Tumazos
April 2010 - November 2012 · 2 yrs 7 mos
State Registrations2 states
CANV
AdvisorBrokerBoth
Exams
No exam information available for this advisor.