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Lempira Galel Fajardo

Roth Capital Partners, LLC

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About Lempira Galel Fajardo

Lempira Galel Fajardo is a registered representative with Roth Capital Partners, LLC. Lempira has been in the industry since October 2012, and holds the Securities Industry Essentials Examination (SIE) and Series 99. Lempira has a current registration with FINRA. Lempira is located at 888 SAN CLEMENTE SUITE 400 in NEWPORT BEACH, CA.

Firm Information

Lempira Fajardo 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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Lempira Fajardo’s Registration & Firm History

CA

10/17/2012 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/16/2012

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lempira Galel Fajardo.
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