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James Anthony Tenaglia

Roth Capital Partners, LLC

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About James Anthony Tenaglia

James Anthony Tenaglia is a licensed securities professional with over 20 years of experience in the financial industry. He is currently a registered representative with Roth Capital Partners, LLC, located in Stamford, CT. Previously, James was employed with MKM PARTNERS LLC, Collins Stewart Inc., Tullett Liberty Securities Inc. and Bear, Stearns & Co. Inc., holding various positions. James is a Series 7, 24, 55, 57TO, 63, 79TO, 99TO and SIE exam holder. James is a strong advocate for his clients and is committed to providing them with the highest level of service.

Firm Information

James Tenaglia 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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James Tenaglia’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

09/04/2007 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

03/30/2005 - 05/18/2007

COLLINS STEWART INC. (NEW YORK NY)

NY

02/20/2002 - 04/19/2005

TULLETT LIBERTY SECURITIES INC. (NEW YORK NY)

NY

05/17/2000 - 02/26/2002

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/25/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/17/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/06/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/16/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Anthony Tenaglia.
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