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Douglas Arthur Lanzo

Roth Capital Partners, LLC

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About Douglas Arthur Lanzo

Douglas Lanzo is a financial professional with over 28 years of experience in the industry. Douglas is currently registered with Roth Capital Partners, LLC in Stamford, CT. Previously, Douglas held positions at MKM PARTNERS LLC, TULLETT PREBON FINANCIAL SERVICES LLC, MURPHY & DURIEU, FIMAT USA, LLC, SG COWEN SECURITIES CORPORATION and COWEN & CO.. Douglas is also licensed in Connecticut.

Firm Information

Douglas Lanzo 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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Douglas Lanzo’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

07/17/2017 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

01/02/2015 - 07/26/2017

TULLETT PREBON FINANCIAL SERVICES LLC (NEW YORK NY)

NY

01/30/2006 - 01/05/2015

MURPHY & DURIEU (NEW YORK NY)

IL

08/01/2000 - 10/21/2005

FIMAT USA, LLC (CHICAGO IL)

NY

07/01/1998 - 08/01/2000

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NY

07/25/1994 - 07/01/1998

COWEN & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/05/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/23/1994

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 is public disclosure for Douglas Arthur Lanzo. Review regulatory record here.
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