CRD #15407 · FINRA BrokerCheck + SEC IAPD

Roth Capital Partners, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Roth Capital Partners, LLC ranks #211 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #3 of 279 on the same disclosure sort used on the state browse page. Roth Capital Partners, LLC carries 28 BrokerCheck disclosures across 18 branch offices - elevated load for a regional firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
18
branch offices
28
disclosures
#211 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 15407 Roth Capital Partners, LLC

Roth Capital Partners, LLC · Grade D · 28 disc · 1.56/office · Regional firm

  • CRD 15407
  • GRADE D
  • DISC 28
  • REG 16
  • ARB 12
  • CIV 0
  • BRANCH 18
  • PER-OFF 1.56
  • RANK #211 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Lazard Freres & Co. LLC (1.60 disc/office)

Lazard Freres & Co. LLC1.60Regal Securities, Inc.1.36GMS Group1.80Roth Capital Partne… (this)1.56
Disclosures per office among regional firm peers (lower is cleaner)

Roth Capital Partners, LLC ranks #211 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.56 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

18 offices

FINRA: Medium firm

Total disclosures

28 events

On FINRA BrokerCheck

Regulatory events

16 actions

57% of all disclosures

Disclosures per office

1.56 per office

28 ÷ 18 offices

Roth Capital Partners, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 17% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). This entry sits in this band. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 16
Arbitrations 12
Civil Events 0
Total 28

Counts for Roth Capital Partners, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 16 Arbitration 12 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Newport Beach, CA
CRD Number
15407

Elevated disclosures per office

Roth Capital Partners, LLC in the heavier-disclosure third

Roth Capital Partners, LLC carries 28 BrokerCheck disclosures across 18 branch offices - a heavier-third raw book among graded firms (#211 of 20,055). Mix is 16 regulatory, 12 arbitration, and 0 civil (57% regulator share).

Roth Capital Partners, LLC runs 1.56 disclosures per branch office (cleaner than only 83% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Roth Capital Partners, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

California cohort · 14× state average

Roth Capital Partners, LLC sits above the California disclosure average

Roth Capital Partners, LLC reports 28 BrokerCheck disclosures, 14× the California average of 2.1 across 279 graded firms with a principal-office state on file.

In California, 189 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the California state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Roth Capital Partners, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Roth Capital Partners, LLC ranks #211 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #3 of 279 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Roth Capital Partners, LLC?
A grade of D reflects Roth Capital Partners, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 28 total disclosures across 18 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Roth Capital Partners, LLC have?
Roth Capital Partners, LLC has 28 total FINRA disclosures, including 16 regulatory events, 12 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Roth Capital Partners, LLC?
Roth Capital Partners, LLC operates 18 branch offices and is classified by FINRA as a medium firm, registered in CA (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Roth Capital Partners, LLC's disciplinary record?
You can verify Roth Capital Partners, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 15407. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Roth Capital Partners, LLC's 28 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Roth Capital Partners, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Roth Capital Partners, LLC carries 28 disclosures across 18 branch offices (about 1.56 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Roth Capital Partners, LLC, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Lazard Freres & Co. LLC (NY) - 1.60 disclosures/office, nearest regional firm peer to Roth Capital Partners, LLC's 1.56
  • Regal Securities, Inc. (IL) - 1.36 disclosures/office, nearest regional firm peer to Roth Capital Partners, LLC's 1.56
  • GMS Group (NJ) - 1.80 disclosures/office, nearest regional firm peer to Roth Capital Partners, LLC's 1.56
  • Firms in CA - state roster that includes Roth Capital Partners, LLC's registration home.
  • Red Flags in Advisor Records - How to read Roth Capital Partners, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 28 disclosures behind Roth Capital Partners, LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Roth Capital Partners, LLC.
  • Compare firms - put Roth Capital Partners, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.