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Alexander Tristan Smith

Roth Capital Partners, LLC

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About Alexander Tristan Smith

Alexander Tristan Smith is a licensed securities professional who has been in the industry since August 11, 2022. Currently, Alexander Tristan Smith is registered with Roth Capital Partners, LLC, a firm based in Newport Beach, California. Before joining Roth Capital Partners, LLC, Alexander Tristan Smith worked at Equitable Advisors, LLC in Los Angeles, California. Alexander Tristan Smith is licensed to conduct business in California.

Firm Information

Alexander Smith 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 Smith’s Registration & Firm History

CA

08/22/2022 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

04/10/2022 - 04/19/2022

EQUITABLE ADVISORS, LLC (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 04/21/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/22/2022

Series 24 - General Securities Principal Examination

BC

Issued 04/09/2022

Series 7TO - General Securities Representative Examination

BC

Issued 09/27/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alexander Tristan Smith.
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