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Leo Paul Mariani

Roth Capital Partners, LLC

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About Leo Paul Mariani

Leo Paul Mariani is a licensed securities professional with over 20 years of experience in the financial services industry. Currently, Leo is a Registered Representative at Roth Capital Partners, LLC, a firm focused on investment banking and securities brokerage. Prior to joining Roth Capital, Leo worked at a number of firms, including MKM Partners LLC, KeyBanc Capital Markets Inc., National Alliance Securities, LLC, RBC Capital Markets, LLC, and RBC Capital Markets Corporation. Leo is registered to conduct securities business in Connecticut.

Firm Information

Leo Mariani 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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Leo Mariani’s Registration & Firm History

TX

01/31/2023 - Present

Roth Capital Partners, LLC (AUSTIN TX)

TX

06/21/2022 - 01/31/2023

MKM PARTNERS LLC (AUSTIN TX)

TX

11/26/2018 - 06/23/2022

KEYBANC CAPITAL MARKETS INC. (HOUSTON TX)

TX

08/05/2017 - 11/27/2018

NATIONAL ALLIANCE SECURITIES, LLC (AUSTIN TX)

TX

02/29/2008 - 02/10/2016

RBC CAPITAL MARKETS, LLC (AUSTIN TX)

TX

08/29/2006 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (AUSTIN TX)

TX

05/20/2003 - 08/28/2006

JEFFERIES & COMPANY, INC. (AUSTIN TX)

NY

11/09/2000 - 02/05/2003

UBS WARBURG LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/03/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/08/2000

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 is public disclosure for Leo Paul Mariani. Review regulatory record here.
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