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Carolina Lopez-rodriguez

Roth Capital Partners, LLC

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About Carolina Lopez-rodriguez

Carolina Lopez-rodriguez is a registered representative with Roth Capital Partners, LLC. Carolina has been working in the securities industry since 2000. Before joining Roth Capital Partners, LLC Carolina was previously registered with GLOBAL HUNTER SECURITIES, LLC, PMB SECURITIES CORP., GRANT BETTINGEN, INC., THE SEIDLER COMPANIES INCORPORATED and HAGERTY, STEWART & ASSOCIATES, INC. Carolina is licensed in California.

Firm Information

Carolina Lopez-rodriguez 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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Carolina Lopez-rodriguez’s Registration & Firm History

CA

11/09/2011 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

08/24/2009 - 10/31/2011

GLOBAL HUNTER SECURITIES, LLC (NEWPORT BEACH CA)

CA

06/09/2009 - 08/21/2009

PMB SECURITIES CORP. (NEWPORT BEACH CA)

CA

05/01/2003 - 08/20/2008

GRANT BETTINGEN, INC. (NEWPORT BEACH CA)

CA

01/02/2001 - 07/20/2001

THE SEIDLER COMPANIES INCORPORATED (LOS ANGELES CA)

CA

06/09/1997 - 01/02/2001

HAGERTY, STEWART & ASSOCIATES, INC. (SAN DIEGO CA)

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Licenses & Designations

BC

Issued 06/25/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/27/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/03/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/06/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Carolina Lopez-rodriguez.
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