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Joseph Michael Tonnos

Roth Capital Partners, LLC

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About Joseph Michael Tonnos

Joseph Tonnos is a Financial Advisor with Roth Capital Partners, LLC located in Miami Beach, FL. Joseph has 8 years of experience in the financial industry. He holds Series 79TO, SIE, and Series 79 licenses. Joseph also holds a Series 63 license and is registered in California and Florida. Prior to joining Roth Capital Partners, LLC, Joseph worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and LAZARD MIDDLE MARKET LLC.

Firm Information

Joseph Tonnos 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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Joseph Tonnos’s Registration & Firm History

FL

01/18/2024 - Present

Roth Capital Partners, LLC (Miami Beach FL)

NY

06/19/2015 - 07/18/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

MN

10/07/2014 - 05/26/2015

LAZARD MIDDLE MARKET LLC (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 02/13/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/18/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/19/2023

SIE - Securities Industry Essentials Examination

BC

Issued 10/07/2014

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Joseph Michael Tonnos. Review regulatory record here.
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