Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Fred? Claim Your ProfileFred Pisapia is a registered representative with Roth Capital Partners, LLC. Fred has been in the industry since June 24, 2000 and has worked for several firms including MKM Partners LLC, Albert Fried & Company, LLC, Fagenson & Co., Inc., Midwood Securities, Inc., Institutional Edge, L.L.C., Euro Brokers, A Division of Maxcor Financial Inc. and Royal Hutton Securities Corp. Fred holds the Series 7, 24, 55, 63, 57TO, 99TO and SIE licenses. Fred specializes in providing investment advice and research reports to clients and assists firms in soliciting new clients.
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.
(1) distribution of sell-side research reports/corporate access (2) solicitor
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.
Set rates for specific services, regardless of time or assets managed.
1
2
TX
01/31/2023 - Present
Roth Capital Partners, LLC (AUSTIN TX)
TX
02/07/2017 - 01/31/2023
MKM PARTNERS LLC (AUSTIN TX)
NY
09/01/2010 - 01/11/2017
ALBERT FRIED & COMPANY, LLC (NEW YORK NY)
NY
09/28/2006 - 08/20/2010
FAGENSON & CO., INC. (NEW YORK NY)
NY
11/08/2004 - 09/29/2006
MIDWOOD SECURITIES, INC. (NEW YORK NY)
NJ
05/09/2001 - 11/05/2004
INSTITUTIONAL EDGE, L.L.C. (ENGLWOOD CLIFFS NJ)
NY
08/07/2000 - 04/24/2001
EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. (NEW YORK NY)
NY
05/03/2000 - 08/07/2000
ROYAL HUTTON SECURITIES CORP. (NEW YORK NY)
BC
Issued 05/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/16/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/02/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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