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John Anthony Cavalier

Roth Capital Partners, LLC

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About John Anthony Cavalier

John Anthony Cavalier is a securities professional with over 30 years of experience in the industry. John has a broad range of experience, having held positions at firms such as Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, and Drexel Burnham Lambert Incorporated. John is currently registered with Roth Capital Partners, LLC as an Investment Banking Registered Representative.

Firm Information

John Cavalier 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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John Cavalier’s Registration & Firm History

CA

03/05/2024 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

03/15/2022 - 01/12/2024

ANCORIS SECURITIES LLC (New York NY)

NJ

11/06/2020 - 01/13/2022

TANGENT CAPITAL PARTNERS, LLC (SHORT HILLS NJ)

NY

01/16/2013 - 08/20/2020

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

11/03/2000 - 07/30/2009

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NJ

01/22/1990 - 09/23/2002

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NA

11/23/1988 - 01/30/1990

DREXEL BURNHAM LAMBERT INCORPORATED

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Licenses & Designations

BC

Issued 12/06/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/19/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Anthony Cavalier.
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