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Byron Clarence Roth

Roth Capital Partners, LLC

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About Byron Clarence Roth

Byron Clarence Roth is a securities professional with over 30 years of experience in the industry. Byron currently works for Roth Capital Partners, LLC and has been with them since 2016. Prior to this, Byron held positions at RLJ Capital Markets, LLC, Dickinson & Co., and Swartwood, Hesse Inc. Byron holds the Series 7, 24, 63, SIE and Series 79TO licenses and is registered in 27 states.

Firm Information

Byron Roth 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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Byron Roth’s Registration & Firm History

CA

04/22/1992 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

MD

04/22/2016 - 10/12/2017

RLJ CAPITAL MARKETS, LLC (BETHESDA MD)

IA

01/17/1991 - 04/15/1992

DICKINSON & CO. (DES MOINES IA)

NY

11/25/1987 - 12/31/1990

SWARTWOOD, HESSE INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/14/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/08/1993

Series 24 - General Securities Principal 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 11/21/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Byron Clarence Roth.
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