linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Eric Lorenz Krogius

Roth Capital Partners, LLC

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

About Eric Lorenz Krogius

Eric Krogius is a registered representative with Roth Capital Partners, LLC. Eric has been in the securities industry since March 17, 1995. Eric is also registered with FINRA. Eric has held previous roles at Seaport Global Securities LLC, Global Hunter Securities, LLC and Crowell, Weedon & Co.

Firm Information

Eric Krogius 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.

Eric Krogius’s Registration & Firm History

CA

11/16/2016 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

09/29/2014 - 09/22/2016

SEAPORT GLOBAL SECURITIES LLC (COSTA MESA CA)

CA

06/27/2013 - 09/29/2014

GLOBAL HUNTER SECURITIES, LLC (COSTA MESA CA)

CA

09/19/2000 - 06/20/2013

CROWELL, WEEDON & CO. (DANA POINT CA)

CA

01/17/1995 - 09/22/2000

ROTH CAPITAL PARTNERS, INC. (NEWPORT BEACH CA)

Not sure if Eric Lorenz Krogius is right for you?

Licenses & Designations

BC

Issued 01/19/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/02/1995

Series 4 - Registered Options Principal Examination

BC

Issued 03/01/1995

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/27/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/16/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Eric Lorenz Krogius. Review regulatory record here.
Not sure if Eric Lorenz Krogius is right for you?