Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gordon? Claim Your ProfileGordon Roth is a registered representative with Roth Capital Partners, LLC. Gordon has been in the securities industry since August 11, 1999. Gordon has passed the Series 63, Series 7, Series 24, Series 27, and Series 99TO exams. Gordon is currently registered in California, Iowa, Nebraska, and Texas. Prior to working at Roth Capital Partners, LLC Gordon was employed at Lincoln Financial Advisors Corporation in Fort Wayne, IN.
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
CA
06/19/2000 - Present
Roth Capital Partners, LLC (NEWPORT BEACH CA)
IN
08/12/1999 - 08/01/2000
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
BC
Issued 01/27/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/05/2000
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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