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Douglas Ronald Gonsalves

Roth Capital Partners, LLC

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About Douglas Ronald Gonsalves

Douglas Ronald Gonsalves is a financial professional with over 29 years of experience in the industry. He is currently registered with Roth Capital Partners, LLC as a Registered Representative. Douglas has a broad background, having previously worked with firms such as Truist Securities, Inc., Mooreland Partners LLC, CMA Partners, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Douglas holds the Series 7, 24, 63, 79 and SIE licenses.

Firm Information

Douglas Gonsalves 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 Gonsalves’s Registration & Firm History

CA

07/10/2023 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

05/21/2015 - 01/30/2023

TRUIST SECURITIES, INC. (SAN FRANCISCO CA)

CA

02/01/2013 - 05/14/2015

MOORELAND PARTNERS LLC (FOSTER CITY CA)

CO

01/22/2013 - 02/06/2013

CMA PARTNERS, LLC (BOULDER CO)

CA

09/21/2007 - 12/17/2012

THINKEQUITY LLC (SAN FRANCISCO CA)

CA

04/26/2005 - 09/17/2007

SVB ALLIANT (PALO ALTO CA)

CA

01/14/2003 - 04/27/2005

THE SPARTAN GROUP (PASADENA CA)

NY

01/28/2000 - 10/16/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/01/1998 - 10/08/1999

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

CA

10/01/1993 - 10/01/1998

BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)

CA

06/18/1993 - 10/01/1993

BA INVESTMENT SERVICES, INC. (OAKLAND CA)

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Licenses & Designations

BC

Issued 08/16/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/30/2000

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 06/17/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Ronald Gonsalves.
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