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Jesse William Pichel

Roth Capital Partners, LLC

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About Jesse William Pichel

Jesse Pichel is a financial professional with over 20 years of experience in the industry. Jesse is currently registered with Roth Capital Partners, LLC and has previously held positions at Jefferies & Company, Inc., Piper Jaffray & Co., and Needham & Company, Inc. Jesse is a Series 63, Series 7, Series 79, Series 86 and Series 87 licensed professional, providing investment advisory services to a variety of clients, including investment companies and other investment advisors. Jesse has extensive experience in the distribution of sell-side research reports/corporate access and acts as a solicitor.

Firm Information

Jesse Pichel 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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Jesse Pichel’s Registration & Firm History

CA

04/26/2013 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

06/15/2010 - 09/12/2012

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NY

07/29/2003 - 06/08/2010

PIPER JAFFRAY & CO. (NEW YORK NY)

NY

03/28/2002 - 06/16/2003

NEEDHAM & COMPANY, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/20/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/17/2013

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 02/22/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/14/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 03/27/2002

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 Jesse William Pichel.
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