Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Dragovcic is an investment advisor with Roth Capital Partners, LLC, based in Stamford, Connecticut. David has extensive experience in the financial services industry, having worked for several reputable firms. David holds several industry licenses including Series 3, 4, 6, 7, 24, 55, 57TO, and 63, and is dedicated to providing clients with sound financial advice.
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.
(1) distribution of sell-side research reports/corporate access (2) solicitor
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.
Set rates for specific services, regardless of time or assets managed.
1
2
CT
01/31/2023 - Present
Roth Capital Partners, LLC (STAMFORD CT)
CT
04/25/2016 - 01/31/2023
MKM PARTNERS LLC (STAMFORD CT)
NY
03/19/2012 - 04/25/2016
WALLACHBETH CAPITAL LLC (NEW YORK NY)
CT
07/29/2011 - 02/02/2012
SEARLE & CO. (GREENWICH CT)
NY
06/17/2009 - 07/15/2011
CAPSTONE GLOBAL MARKETS, LLC (NEW YORK NY)
NY
05/13/2008 - 10/01/2009
CAPSTONE TRADING L.L.C. (NEW YORK NY)
CT
08/01/2005 - 09/21/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (GREENWICH CT)
NY
03/08/2005 - 07/14/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MA
10/20/2004 - 03/22/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
04/01/2003 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
BC
Issued 06/11/2009
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/04/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/16/2015
Series 24 - General Securities Principal Examination
BC
Issued 02/21/2015
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2013
Series 3 - National Commodity Futures Examination
BC
Issued 11/07/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/15/2004
Series 7 - General Securities Representative Examination
BC
Issued 03/31/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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