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Gregory William Giebel

Roth Capital Partners, LLC

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About Gregory William Giebel

Gregory Giebel is a financial professional with over 20 years of experience in the industry. He is currently registered with Roth Capital Partners, LLC and has been with the firm since November 2008. Prior to that, Gregory was with Friedman, Billings, Ramsey & Co., Inc. Gregory holds several professional licenses including Series 63, Series 24, SIE, Series 79, and Series 7. Gregory's experience and qualifications make him well-equipped to provide a wide range of financial services to clients, including investment banking.

Firm Information

Gregory Giebel 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 Giebel’s Registration & Firm History

CA

11/17/2008 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

05/22/1996 - 09/10/2008

FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (IRVINE CA)

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Licenses & Designations

BC

Issued 05/16/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/20/1998

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/06/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 05/14/1996

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 Gregory William Giebel.
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