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Kenneth Arthur Fiveson

Roth Capital Partners, LLC

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About Kenneth Arthur Fiveson

Kenneth Arthur Fiveson is a registered representative with Roth Capital Partners, LLC, a firm that provides investment advisory services. Kenneth Arthur Fiveson has been in the securities industry for over 18 years and has experience with a variety of products and services. Previously, Kenneth Arthur Fiveson worked for MKM Partners LLC. Kenneth Arthur Fiveson is licensed in Connecticut and holds the Series 7, 55, 63, 57TO, 79TO, 99TO and SIE exams. Kenneth Arthur Fiveson is a registered representative of Roth Capital Partners, LLC.

Firm Information

Kenneth Fiveson 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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Kenneth Fiveson’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

04/22/2005 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

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Licenses & Designations

BC

Issued 08/23/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/27/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/21/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kenneth Arthur Fiveson.
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