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Gerald Lee Mars

Roth Capital Partners, LLC

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About Gerald Lee Mars

Gerald Mars is a financial professional with over 20 years of experience in the industry. Gerald is currently registered with Roth Capital Partners, LLC and is based in Miami Beach, FL. Gerald has worked with several firms throughout his career, including Euro Pacific Capital, Inc., WaveLand Capital Partners LLC, Wells Fargo Securities, LLC, Global Hunter Securities, LLC, and Roth Capital Partners, LLC.

Firm Information

Gerald Mars 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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Gerald Mars’s Registration & Firm History

FL

08/04/2014 - Present

Roth Capital Partners, LLC (Miami Beach FL)

CA

12/24/2009 - 10/03/2013

EURO PACIFIC CAPITAL, INC. (NEWPORT BEACH CA)

CA

11/04/2009 - 12/04/2009

WAVELAND CAPITAL PARTNERS LLC (IRVINE CA)

CA

10/16/2007 - 06/26/2009

WELLS FARGO SECURITIES, LLC (LOS ANGELES CA)

CA

05/30/2007 - 10/01/2007

GLOBAL HUNTER SECURITIES, LLC (NEWPORT BEACH CA)

CA

06/07/2001 - 03/28/2007

ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)

CA

02/02/2000 - 03/14/2001

ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)

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Licenses & Designations

BC

Issued 01/24/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/23/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/31/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Gerald Lee Mars.
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