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Eric Owen Handler

Roth Capital Partners, LLC

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About Eric Owen Handler

Eric Owen Handler is a financial professional with over 25 years of experience in the financial services industry. Eric is currently a Registered Representative with Roth Capital Partners, LLC. Prior to joining Roth Capital Partners, Eric was a Registered Representative with MKM PARTNERS LLC. Eric has also held positions with Barclays Capital Inc., Lehman Brothers Inc., Goldman, Sachs & Co., SG Cowen Securities Corporation, and Commonwealth Associates. Eric is licensed to provide financial services in Connecticut. Eric is also a Series 7, Series 63, Series 86, Series 87, and SIE licensed professional.

Firm Information

Eric Handler 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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Eric Handler’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

03/16/2009 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

09/22/2008 - 02/12/2009

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

07/19/2004 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

03/31/2003 - 07/26/2004

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

08/27/1998 - 08/13/2002

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NY

06/16/1997 - 08/10/1998

COMMONWEALTH ASSOCIATES (NEW YORK NY)

FL

07/10/1996 - 07/02/1997

JW CHARLES SECURITIES,INC. (BOCA RATON FL)

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Licenses & Designations

BC

Issued 07/25/1996

Series 63 - Uniform Securities Agent State Law 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 03/29/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 03/01/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 07/09/1996

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 are no public disclosures for Eric Owen Handler.
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