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Matthew James Ingraham

Roth Capital Partners, LLC

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About Matthew James Ingraham

Matthew Ingraham is a financial professional with experience in the securities industry. Matthew is currently registered with Roth Capital Partners, LLC and is licensed in California. Matthew has a Series 66, Series 7TO and SIE. Prior to joining Roth Capital Partners, LLC, Matthew was with PARK AVENUE SECURITIES LLC.

Firm Information

Matthew Ingraham 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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Matthew Ingraham’s Registration & Firm History

CA

08/16/2022 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

01/21/2020 - 03/02/2021

PARK AVENUE SECURITIES LLC (IRVINE CA)

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Licenses & Designations

BOTH

Issued 07/02/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/06/2022

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/21/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/24/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Matthew James Ingraham.
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