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Harry Fong

Roth Capital Partners, LLC

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About Harry Fong

Harry Fong is a registered representative with Roth Capital Partners, LLC. Harry has over 30 years of experience in the securities industry. Harry's previous employers include MKM PARTNERS LLC, TICONDEROGA SECURITIES LLC, SOLEIL SECURITIES CORPORATION, CALYON SECURITIES (USA) INC, BLAYLOCK & PARTNERS, L.P., DEUTSCHE BANK SECURITIES INC., and CONNING & COMPANY. Harry is registered to sell securities in Connecticut and New York.

Firm Information

Harry Fong 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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Harry Fong’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

03/19/2012 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

05/11/2011 - 01/31/2012

TICONDEROGA SECURITIES LLC (NEW YORK NY)

NY

11/06/2008 - 06/02/2011

SOLEIL SECURITIES CORPORATION (NEW YORK NY)

NY

06/01/2004 - 01/08/2008

CALYON SECURITIES (USA) INC (NEW YORK NY)

NY

05/06/2002 - 05/10/2004

BLAYLOCK & PARTNERS, L.P. (NEW YORK NY)

NY

03/23/1994 - 04/24/2000

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

IL

02/23/1984 - 02/23/1994

CONNING & COMPANY (OAKBROOK TERRACE IL)

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Licenses & Designations

BC

Issued 01/27/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/29/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/05/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/18/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Harry Fong. Review regulatory record here.
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