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Laura Ann Brodbeck

Roth Capital Partners, LLC

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About Laura Ann Brodbeck

Laura Brodbeck is a financial professional with over 13 years of experience in the financial services industry. Laura is currently a Registered Representative at Roth Capital Partners, LLC. Laura has a strong background in Investment Banking, Research, and General Securities, having previously worked for firms such as Marshberry Capital, LLC., Longbow Securities, LLC, and SFI Investments, LLC. Laura holds a wide range of FINRA licenses, including Series 7, Series 24, Series 28, Series 63, Series 79, and SIE. Laura is registered to conduct business in California and Ohio.

Firm Information

Laura Brodbeck 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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Laura Brodbeck’s Registration & Firm History

CA

01/17/2023 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

OH

10/09/2019 - 01/19/2023

MARSHBERRY CAPITAL, LLC. (Woodmere OH)

NY

07/11/2011 - 09/30/2019

LONGBOW SECURITIES, LLC (NEW YORK NY)

OH

07/18/2008 - 09/29/2009

SFI INVESTMENTS, LLC (CLEVELAND OH)

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Licenses & Designations

BC

Issued 02/20/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/04/2016

Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination

BC

Issued 08/22/2011

Series 24 - General Securities Principal Examination

BC

Issued 02/13/2023

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 11/26/2019

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/01/2011

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/17/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Laura Ann Brodbeck.
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