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Alexander Gene Montano

Roth Capital Partners, LLC

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About Alexander Gene Montano

Alexander Montano is a financial professional with over 30 years of experience in the securities industry. Alexander is currently registered with Roth Capital Partners, LLC in Newport Beach, California. Alexander has a strong track record of providing investment advice and guidance to clients, and is committed to helping clients achieve their financial goals.

Firm Information

Alexander Montano 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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Alexander Montano’s Registration & Firm History

CA

10/08/2013 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

04/30/2001 - 08/30/2013

C.K. COOPER & COMPANY, INC. (IRVINE CA)

CA

11/21/1996 - 01/04/1999

C.K. COOPER & COMPANY, INC. (IRVINE CA)

CA

04/10/1995 - 12/03/1997

BROOKSTREET SECURITIES CORPORATION (SAN JUAN CAPISTRANO CA)

CA

01/03/1995 - 04/10/1995

TITAN/VALUE EQUITIES GROUP, INC. (IRVINE CA)

CA

08/29/1989 - 12/31/1994

MONTANO SECURITIES CORPORATION (ORANGE CA)

CA

03/06/1992 - 08/25/1992

BARABAN SECURITIES, INC. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 01/04/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/07/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/19/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 4 public disclosures for Alexander Gene Montano. Review regulatory record here.
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