| Serial Number | 77461191 |
| Word Mark | FINANCING INNOVATION |
| Filing Date | Tuesday, April 29, 2008 |
| Status | 710 - CANCELLED - SECTION 8 |
| Status Date | Friday, February 14, 2020 |
| Registration Number | 3649538 |
| Registration Date | Tuesday, July 7, 2009 |
| Mark Drawing | 4000 - Illustration: Drawing with word(s) / letter(s) / number(s) in Block form |
| Published for Opposition Date | Tuesday, April 21, 2009 |
| Goods and Services | Mergers and acquisitions advisory services, namely, acquisition and merger consultation provided to companies in the small and micro-cap markets; Marketing services, namely, business marketing services; Arranging and conducting investor conferences in the field of finance, investments, brokerage, banking, and insurance as it relates to the small and micro-cap markets |
| Goods and Services | Financial services, namely, helping public companies in the small and micro-cap markets raise capital and create liquidity; Investment banking services targeted to public companies in the small and micro-cap markets; Trading services in the field of securities, finance, and investments, namely, brokerage of shares and other securities in the context of the small and micro-cap market; Financial advisory services provided to public companies in the small and micro-cap market; Financial consulting services provided to public companies in the small and micro-cap market; Banking services provided to public companies in the small and micro-cap market; Financial and investment research and analysis services provided to public companies in the small and micro-cap market; Money management services, namely, investment management and financial management services provided to public companies in the small and micro-cap market |
| International Class | 035 - Advertising; business management; business administration; office functions. |
| US Class Codes | 100, 101, 102 |
| Class Status Code | 2 - Sec. 8 - Entire Registration |
| Class Status Date | Friday, February 14, 2020 |
| Primary Code | 035 |
| First Use Anywhere Date | Sunday, December 31, 2006 |
| First Use In Commerce Date | Sunday, December 31, 2006 |
| International Class | 036 - Insurance; financial affairs; monetary affairs; real estate affairs. |
| US Class Codes | 100, 101, 102 |
| Class Status Code | 2 - Sec. 8 - Entire Registration |
| Class Status Date | Friday, February 14, 2020 |
| Primary Code | 036 |
| First Use Anywhere Date | Sunday, December 31, 2006 |
| First Use In Commerce Date | Sunday, December 31, 2006 |
| Party Name | Roth Capital Partners, LLC |
| Party Type | 30 - Original Registrant |
| Legal Entity Type | 16 - Limited Liability Company |
| Address | Newport Beach, CA 92660 |
| Party Name | Roth Capital Partners, LLC |
| Party Type | 20 - Owner at Publication |
| Legal Entity Type | 16 - Limited Liability Company |
| Address | Newport Beach, CA 92660 |
| Party Name | Roth Capital Partners, LLC |
| Party Type | 10 - Original Applicant |
| Legal Entity Type | 16 - Limited Liability Company |
| Address | Newport Beach, CA 92660 |
| Event Date | Event Description |
| Friday, February 14, 2020 | CANCELLED SEC. 8 (10-YR)/EXPIRED SECTION 9 |
| Saturday, July 7, 2018 | COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED |
| Saturday, August 1, 2015 | NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED |
| Saturday, August 1, 2015 | REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. |
| Saturday, August 1, 2015 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| Tuesday, July 7, 2015 | TEAS SECTION 8 & 15 RECEIVED |
| Tuesday, January 6, 2015 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| Wednesday, August 7, 2013 | ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY |
| Wednesday, August 7, 2013 | ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY |
| Wednesday, June 12, 2013 | ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY |
| Thursday, December 23, 2010 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| Tuesday, July 7, 2009 | REGISTERED-PRINCIPAL REGISTER |
| Tuesday, April 21, 2009 | PUBLISHED FOR OPPOSITION |
| Wednesday, April 1, 2009 | NOTICE OF PUBLICATION |
| Friday, March 13, 2009 | LAW OFFICE PUBLICATION REVIEW COMPLETED |
| Friday, March 13, 2009 | ASSIGNED TO LIE |
| Friday, March 13, 2009 | APPROVED FOR PUB - PRINCIPAL REGISTER |
| Saturday, February 21, 2009 | TEAS/EMAIL CORRESPONDENCE ENTERED |
| Friday, February 20, 2009 | CORRESPONDENCE RECEIVED IN LAW OFFICE |
| Friday, February 20, 2009 | TEAS RESPONSE TO OFFICE ACTION RECEIVED |
| Thursday, February 12, 2009 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| Wednesday, August 20, 2008 | NOTIFICATION OF NON-FINAL ACTION E-MAILED |
| Wednesday, August 20, 2008 | NON-FINAL ACTION E-MAILED |
| Wednesday, August 20, 2008 | NON-FINAL ACTION WRITTEN |
| Wednesday, August 13, 2008 | ASSIGNED TO EXAMINER |
| Friday, May 2, 2008 | NEW APPLICATION ENTERED IN TRAM |