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Dean Colvin Goss

Roth Capital Partners, LLC

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About Dean Colvin Goss

Dean Colvin Goss is a financial professional with over 25 years of experience in the industry. Dean Goss has a wide range of experience in the financial services industry. Dean Goss is currently registered with Roth Capital Partners, LLC. Dean Goss was previously registered with Seaport Global Securities LLC, Global Hunter Securities, LLC, Oppenheimer & Co. Inc., Thinkequity LLC, Brean Murray, Carret & Co., LLC., Nomura Securities International, Inc., Dresdner Kleinwort Wasserstein Securities LLC, ING Barings LLC, Bear, Stearns & Co. Inc., Scott & Stringfellow Investment Corporation, Morgan Keegan & Company, Inc., and Shearson/American Express Inc. Dean Goss holds a number of licenses and designations, including Series 3, 4, 7, 15, 16, 24, and 63. Dean Goss is a member of FINRA and is licensed in California and Connecticut.

Firm Information

Dean Goss 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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Dean Goss’s Registration & Firm History

CA

06/08/2021 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

09/29/2014 - 09/13/2019

SEAPORT GLOBAL SECURITIES LLC (NEW YORK NY)

NY

09/07/2011 - 09/29/2014

GLOBAL HUNTER SECURITIES, LLC (NEW YORK NY)

NY

04/16/2010 - 09/02/2011

OPPENHEIMER & CO. INC. (NEW YORK NY)

CA

07/15/2010 - 07/30/2010

THINKEQUITY LLC (SAN FRANCISCO CA)

NY

07/03/2007 - 11/24/2008

BREAN MURRAY, CARRET & CO., LLC. (NEW YORK NY)

NY

04/12/2004 - 04/30/2007

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

03/28/2001 - 11/13/2003

DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (NEW YORK NY)

NY

12/22/1998 - 06/23/2000

ING BARINGS LLC (NEW YORK NY)

NY

08/05/1998 - 12/22/1998

BEAR, STEARNS & CO. INC. (NEW YORK NY)

VA

05/31/1991 - 11/05/1991

SCOTT & STRINGFELLOW INVESTMENT CORPORATION (RICHMOND VA)

TN

07/30/1985 - 10/30/1989

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

NA

01/02/1983 - 03/23/1984

SHEARSON/AMERICAN EXPRESS INC.

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Licenses & Designations

BC

Issued 12/02/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/11/1994

Series 24 - General Securities Principal Examination

BC

Issued 10/11/1982

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 12/01/1983

Series 15 - Foreign Currency Options Examination

BC

Issued 01/21/1983

Series 3 - National Commodity Futures Examination

BC

Issued 10/16/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dean Colvin Goss.
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