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Isabel Antonia Mattson-pain

Roth Capital Partners, LLC

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About Isabel Antonia Mattson-pain

Isabel Mattson-pain is a securities professional with over 20 years of experience in the financial services industry. Isabel currently works at Roth Capital Partners, LLC, where she has been employed since 2002. Before Roth Capital Partners, LLC, Isabel worked at H.D. Vest Investment Services in Dallas, Texas. Isabel holds the Series 7, Series 24, Series 63 and Series 87 licenses. Isabel is licensed in the state of California.

Firm Information

Isabel Mattson-pain 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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Isabel Mattson-pain’s Registration & Firm History

CA

10/03/2002 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

TX

07/16/2002 - 09/25/2002

H.D. VEST INVESTMENT SERVICES (DALLAS TX)

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Licenses & Designations

BC

Issued 08/29/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/15/2002

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 Isabel Antonia Mattson-pain.
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