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John Joseph Weber

Roth Capital Partners, LLC

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About John Joseph Weber

John Joseph Weber is a registered investment advisor representative with Roth Capital Partners, LLC. John has been in the securities industry since May 4, 1992 and is currently registered in California. John is also registered as an investment advisor representative in Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wisconsin. John holds the Series 63, 65, 7, 22 and SIE licenses. Prior to joining Roth Capital Partners, LLC, John worked at THOMAS JAMES ASSOCIATES, INC. and VESTCORP SECURITIES, INC.

Firm Information

John Weber 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 Weber’s Registration & Firm History

CA

01/01/2025 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

06/15/1992 - 03/22/1995

THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)

CA

07/18/1990 - 09/10/1990

VESTCORP SECURITIES, INC. (IRVINE CA)

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Licenses & Designations

IA

Issued 05/18/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/11/1992

Series 7 - General Securities Representative Examination

BC

Issued 07/09/1990

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for John Joseph Weber. Review regulatory record here.
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