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Brian Alan Fisher

Roth Capital Partners, LLC

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About Brian Alan Fisher

Brian Alan Fisher is an investment professional based in Stamford, CT. Brian has over 28 years of experience in the financial services industry. Brian is currently registered with Roth Capital Partners, LLC as a General Securities Principal. Prior to joining Roth Capital Partners, LLC, Brian was a Registered Representative at MKM Partners LLC and Pali Capital, Inc. Brian is a Series 7, Series 24, Series 55, Series 63, and Series 99TO licensed professional.

Firm Information

Brian Fisher 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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Brian Fisher’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

03/25/2010 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

04/30/2002 - 02/22/2010

PALI CAPITAL, INC. (NEW YORK NY)

NY

07/22/1998 - 04/30/2002

PALI CAPITAL, LLC (NEW YORK NY)

NY

05/05/1998 - 01/14/1999

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

07/26/1994 - 07/21/1998

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/12/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/04/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/03/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/28/1994

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 Brian Alan Fisher.
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