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Kevin Joseph Clark

Roth Capital Partners, LLC

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About Kevin Joseph Clark

Kevin Joseph Clark is a financial advisor with over 27 years of experience in the industry. Kevin is currently registered with Roth Capital Partners, LLC. Kevin has previously worked with several other firms including MKM PARTNERS LLC, AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC., and CANTOR FITZGERALD & CO..

Firm Information

Kevin Clark 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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Kevin Clark’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

09/21/2020 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NJ

05/27/2019 - 10/29/2020

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (Manasquan NJ)

NJ

11/19/2013 - 10/02/2017

MKM PARTNERS LLC (RED BANK NJ)

NJ

06/04/2002 - 10/23/2013

CANTOR FITZGERALD & CO. (SHREWSBURY NJ)

NY

03/23/1998 - 05/10/2002

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

09/28/1994 - 03/13/1998

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/29/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/16/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/02/2017

SIE - Securities Industry Essentials Examination

BC

Issued 09/27/1994

Series 7 - General Securities Representative Examination

BC

Issued 11/05/1991

Series 3 - National Commodity Futures 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 Kevin Joseph Clark.
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