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Keith Jay Wellen

Roth Capital Partners, LLC

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About Keith Jay Wellen

Keith Jay Wellen is a registered representative with Roth Capital Partners, LLC. Keith has been in the securities industry since March 2, 2005. Prior to Roth Capital Partners, LLC, Keith was employed by Benchmark Investments, LLC and Euro Pacific Capital, Inc.

Firm Information

Keith Wellen 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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Keith Wellen’s Registration & Firm History

CA

08/14/2023 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

02/06/2023 - 05/24/2023

BENCHMARK INVESTMENTS, LLC (NEW YORK NY)

CA

07/10/2013 - 01/27/2023

ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)

CA

10/11/2011 - 07/02/2013

EURO PACIFIC CAPITAL, INC. (NEWPORT BEACH CA)

CA

11/22/2004 - 10/06/2011

ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)

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Licenses & Designations

BC

Issued 01/07/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/28/2011

Series 24 - General Securities Principal Examination

BC

Issued 09/15/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Keith Jay Wellen.
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