08/29/2024 | Press release | Distributed by Public on 08/29/2024 17:14
Form X-17A-5 Filer Information |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder |
OMB APPROVAL |
FORM X-17A-5 |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
Filer CIK |
0000748532
|
Filer CCC |
XXXXXXXX
|
Is this a LIVE or TEST Filing? | LIVE TEST |
Would you like a Return Copy? | |
Is this an electronic copy of an official filing submitted in paper format? | |
Confirming Copy File Number | |
Submission Contact Information |
|
Name | |
Phone | |
E-Mail Address | |
Notify via Filing Website only? |
Report for the Period Beginning |
07-01-2023
|
and Ending |
06-30-2024
|
Type of Registrant | Broker-dealer |
OTC derivatives dealer |
Material Weakness |
|
Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? | Yes No |
Name of Broker-dealer |
ROTH CAPITAL PARTNERS, LLC
|
Address 1 |
888 SAN CLEMENTE
|
Address 2 |
SUITE 400
|
City |
NEWPORT BEACH
|
State/Country |
CALIFORNIA
|
Mailing Zip/ Portal Code |
92660
|
Name |
Donald Skrdlant
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Telephone Number |
949 720-5706
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Name - if individual, state last, first, and middle name |
RSM US LLP
|
Address 1 |
30 South Wacker Drive, Suite 3300
|
City |
Chicago
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State/Country |
ILLINOIS
|
Mailing Zip/ Postal Code |
60606
|
Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
Signature |
Gordon Roth
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Title |
Chief Financial Officer
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Checking this box acknowledges that this oath or affirmation has been notarized. |