linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Christopher Mark Mascera

Roth Capital Partners, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Christopher? Claim Your Profile

About Christopher Mark Mascera

Christopher Mascera is a financial professional with over 24 years of experience in the industry. Christopher is currently registered with Roth Capital Partners, LLC and has been with them since January 31, 2023. Previously, Christopher was registered with MKM PARTNERS LLC from May 14, 2018 to January 31, 2023. Christopher is licensed to conduct business in Connecticut.

Firm Information

Christopher Mascera 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.

check

(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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Christopher Mascera’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

05/14/2018 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

CT

07/23/2003 - 10/24/2016

MKM PARTNERS LLC (STAMFORD CT)

CT

12/02/2002 - 04/16/2003

ORBITEX FUNDS DISTRIBUTOR, INC. (STAMFORD CT)

NY

04/09/1996 - 06/28/2002

NDB CAPITAL MARKETS, LP (NEW YORK NY)

Not sure if Christopher Mark Mascera is right for you?

Licenses & Designations

BC

Issued 02/25/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/13/2007

Series 4 - Registered Options Principal Examination

BC

Issued 07/20/2000

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 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2011

Series 3 - National Commodity Futures Examination

BC

Issued 04/09/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/08/1996

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 Christopher Mark Mascera.
Not sure if Christopher Mark Mascera is right for you?