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George Arthur Kelly

Roth Capital Partners, LLC

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About George Arthur Kelly

George Arthur Kelly is a registered representative with Roth Capital Partners, LLC. George has been in the securities industry since 2007 and has experience with a number of firms including Imperial Capital, LLC, Craig-Hallum Capital Group LLC and Stifel, Nicolaus & Company, Incorporated. George is registered to conduct business in California and New York. George also holds Series 7, 86, 87, and SIE licenses, as well as the Uniform Securities Agent State Law Examination (Series 63) and the Uniform Investment Adviser Law Examination (Series 65).

Firm Information

George Kelly 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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George Kelly’s Registration & Firm History

NY

02/21/2020 - Present

Roth Capital Partners, LLC (NEW YORK NY)

NY

02/16/2016 - 03/13/2020

IMPERIAL CAPITAL, LLC (NEW YORK NY)

MN

12/01/2009 - 01/19/2016

CRAIG-HALLUM CAPITAL GROUP LLC (MINNEAPOLIS MN)

MD

08/14/2007 - 11/12/2009

STIFEL, NICOLAUS & COMPANY, INCORPORATED (BALTIMORE MD)

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Licenses & Designations

IA

Issued 02/25/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/20/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/2007

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/01/2007

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/13/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for George Arthur Kelly.
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