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Gregory Leo Waters

Roth Capital Partners, LLC

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About Gregory Leo Waters

Gregory Leo Waters is a registered representative with Roth Capital Partners, LLC. Gregory has been in the securities industry since October 1, 2000. Gregory previously worked at Credit Suisse First Boston Corporation and Goldman, Sachs & Co. Gregory has passed the Series 63, Series 7, and Series 62 exams. Gregory is registered in Arizona, California, Connecticut, Florida, Illinois, Massachusetts, New York, Pennsylvania and Texas.

Firm Information

Gregory Waters 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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Gregory Waters’s Registration & Firm History

CA

03/06/2003 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

11/09/1999 - 05/25/2001

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

09/03/1998 - 07/20/1999

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/26/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2003

Series 7 - General Securities Representative Examination

BC

Issued 09/02/1998

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Gregory Leo Waters.
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