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Alex Panagiotidis

Roth Capital Partners, LLC

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About Alex Panagiotidis

Alex Panagiotidis is a financial professional with over 20 years of experience in the industry. Alex is currently registered with Roth Capital Partners, LLC as a Registered Representative and is based in Stamford, CT. Alex has held previous positions with MKM Partners LLC, Robert W. Baird & Co. Incorporated, CRT Capital Group LLC, Sterne, Agee & Leach, Inc., First Brokers Securities LLC, LinkBrokers Derivatives Corporation, BNP Paribas Securities Corp., and Citigroup Global Markets Inc. Alex holds FINRA Series 3, 4, 7, 24, 55, 57TO, 63 and 87 licenses.

Firm Information

Alex Panagiotidis 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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Alex Panagiotidis’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

09/06/2018 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

07/11/2016 - 10/04/2018

ROBERT W. BAIRD & CO. INCORPORATED (New York NY)

NY

04/20/2015 - 07/05/2016

CRT CAPITAL GROUP LLC (New York NY)

NY

05/26/2010 - 04/20/2015

STERNE, AGEE & LEACH, INC. (NEW YORK NY)

NJ

06/15/2009 - 05/20/2010

FIRST BROKERS SECURITIES LLC (JERSEY CITY NJ)

NJ

11/10/2008 - 06/18/2009

LINKBROKERS DERIVATIVES CORPORATION (JERSEY CITY NJ)

NJ

05/29/2008 - 11/06/2008

FIRST BROKERS SECURITIES LLC (JERSEY CITY NJ)

NY

04/16/2007 - 12/03/2007

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

10/22/2002 - 04/12/2007

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/06/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/09/2008

Series 4 - Registered Options Principal Examination

BC

Issued 06/02/2008

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/26/2009

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/23/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/31/2002

Series 3 - National Commodity Futures Examination

BC

Issued 10/21/2002

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 is public disclosure for Alex Panagiotidis. Review regulatory record here.
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