linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David Scott Engstrom

Roth Capital Partners, LLC

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

About David Scott Engstrom

David Engstrom is a registered representative with Roth Capital Partners, LLC. David has been in the industry since November 1996 and has experience with MKM PARTNERS LLC, MIZUHO SECURITIES USA LLC, SUSQUEHANNA FINANCIAL GROUP, LLLP, SUSQUEHANNA CAPITAL GROUP, MORGAN STANLEY & CO., INCORPORATED and ING BARING FURMAN SELZ LLC. David holds FINRA Series 4, 7, 24, 57 and SIE licenses. David has offices in Stamford, CT and New York, NY. David is registered in Connecticut and New York.

Firm Information

David Engstrom 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.

David Engstrom’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

04/01/2019 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

04/19/2016 - 02/01/2019

MIZUHO SECURITIES USA LLC (NEW YORK NY)

CT

03/19/2003 - 02/23/2016

SUSQUEHANNA FINANCIAL GROUP, LLLP (STAMFORD CT)

PA

03/19/2003 - 09/12/2007

SUSQUEHANNA CAPITAL GROUP (BALA CYNWYD PA)

NY

12/07/1998 - 03/07/2003

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

07/16/1996 - 12/07/1998

ING BARING FURMAN SELZ LLC (NEW YORK NY)

Not sure if David Scott Engstrom is right for you?

Licenses & Designations

BC

Issued 09/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/12/2007

Series 4 - Registered Options Principal Examination

BC

Issued 09/10/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/04/2016

Series 57 - Securities Trader Exam

BC

Issued 03/14/1996

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 David Scott Engstrom.
Not sure if David Scott Engstrom is right for you?