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Alec Benjamin Levine

Roth Capital Partners, LLC

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About Alec Benjamin Levine

Alec Levine is a registered representative with Roth Capital Partners, LLC located in Stamford, Connecticut. Alec has over 20 years of experience in the financial industry. Alec is a licensed securities professional, holding Series 7, 55, 57, and 63 licenses. Prior to joining Roth Capital Partners, Alec was employed by MKM Partners LLC, Raymond James & Associates, Inc., Newedge USA, LLC, WallachBeth Capital LLC, Saratoga Capital Markets, On Point Executions, LLC, Electronic Brokerage Systems, LLC, Raymond C. Forbes & Co., Inc., E. H. Smith Jacobs & Co., Inc., Alfred R. Minafo, Inc., Divine Capital Markets LLC and ABL Trading, L.L.C..

Firm Information

Alec Levine is currently registered with Roth Capital Partners, LLC. Roth Capital Partners, LLC is a Limited Liability Company formed on January 10, 2001. The firm provides investment advisory services, including distribution of sell-side research reports/corporate access and acting as a solicitor. They have a presence in 52 states and the District of Columbia. Roth Capital Partners, LLC primarily serves investment companies and other investment advisors, with a reported 70 clients in these categories. The firm has disclosed 16 regulatory events and 12 arbitration events.

Not reported

Assets Under Management

Not reported

Total Clients

85

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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(1) distribution of sell-side research reports/corporate access (2) solicitor

(1) distribution of sell-side research reports/corporate access (2) solicitor

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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Alec Levine’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

02/11/2019 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

06/05/2014 - 01/16/2019

RAYMOND JAMES & ASSOCIATES, INC. (NEW YORK NY)

NY

06/24/2011 - 04/30/2014

NEWEDGE USA, LLC (NEW YORK NY)

FL

11/11/2009 - 06/22/2011

WALLACHBETH CAPITAL LLC (BOCA RATON FL)

NY

04/28/2008 - 11/18/2009

SARATOGA CAPITAL MARKETS (NEW YORK NY)

NY

04/17/2006 - 04/30/2008

ON POINT EXECUTIONS, LLC (NEW YORK NY)

NY

12/12/2007 - 04/18/2008

ELECTRONIC BROKERAGE SYSTEMS, LLC (NEW YORK NY)

NY

01/16/2007 - 04/02/2007

RAYMOND C. FORBES & CO., INC. (NEW YORK NY)

NY

06/05/2006 - 03/06/2007

E. H. SMITH JACOBS & CO., INC. (NEW YORK NY)

NY

04/17/2006 - 01/16/2007

RAYMOND C. FORBES & CO., INC. (NEW YORK NY)

NY

11/02/2004 - 04/17/2006

ALFRED R. MINAFO, INC. (NEW YORK NY)

NY

02/14/2005 - 04/07/2006

DIVINE CAPITAL MARKETS LLC (NEW YORK NY)

NJ

09/26/2003 - 10/14/2004

ABL TRADING, L.L.C. (EDGEWATER NJ)

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Licenses & Designations

BC

Issued 01/07/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/07/2007

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/06/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Alec Benjamin Levine.
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