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David Thomas Farina

Roth Capital Partners, LLC

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About David Thomas Farina

David Farina has been in the industry for over 28 years and is currently registered with Roth Capital Partners, LLC in Illinois. Prior to joining Roth Capital Partners, LLC, David Farina was employed by BARRINGTON RESEARCH ASSOCIATES, INC., CAPSTONE INVESTMENTS, and WILLIAM BLAIR & COMPANY L.L.C. David Farina holds Series 7, 24, 16, 63, 79TO, 87, and SIE licenses. David Farina is a registered representative with Roth Capital Partners, LLC in Illinois and California.

Firm Information

David Farina 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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David Farina’s Registration & Firm History

IL

03/04/2015 - Present

Roth Capital Partners, LLC (Wilmette IL)

IL

09/06/2011 - 02/25/2015

BARRINGTON RESEARCH ASSOCIATES, INC. (CHICAGO IL)

WI

09/16/2009 - 12/02/2010

CAPSTONE INVESTMENTS (MILWAUKEE WI)

IL

11/22/1992 - 12/31/2008

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

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Licenses & Designations

BC

Issued 12/22/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/15/1997

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 12/17/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/04/1997

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 11/16/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Thomas Farina.
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