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Jonathan Matthew Aschoff

Roth Capital Partners, LLC

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About Jonathan Matthew Aschoff

Jonathan Matthew Aschoff is a financial professional with over 20 years of experience in the industry. Jonathan has a diverse background, having worked at several firms in the industry. Jonathan currently works at Roth Capital Partners, LLC, where he is registered as a broker. He has held previous positions at National Securities Corporation, Brean Capital, LLC, Brean Murray & Co., Inc., Maxim Group LLC, First New York Securities L.L.C., Friedman, Billings, Ramsey & Co., Inc. and Dain Rauscher Incorporated. Jonathan is currently licensed in California, New Jersey and New York.

Firm Information

Jonathan Aschoff 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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Jonathan Aschoff’s Registration & Firm History

CA

11/04/2019 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

09/26/2016 - 10/24/2019

NATIONAL SECURITIES CORPORATION (NEW YORK NY)

NY

10/31/2005 - 09/27/2016

BREAN CAPITAL, LLC (NEW YORK NY)

NY

09/19/2003 - 03/14/2006

BREAN MURRAY & CO., INC. (NEW YORK NY)

NY

04/01/2003 - 08/26/2003

MAXIM GROUP LLC (NEW YORK NY)

NY

11/15/2002 - 02/26/2003

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

CA

03/13/2001 - 08/14/2002

FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (LOS ANGELES CA)

NY

10/18/2000 - 01/17/2001

DAIN RAUSCHER INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/23/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 04/05/2019

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/28/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/17/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 12/12/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/17/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Jonathan Matthew Aschoff. Review regulatory record here.
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