Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Bruno Penza is a registered representative with Roth Capital Partners, LLC. Michael has been in the industry since 2021 and is licensed in California. Michael has passed the Series 63, Series 79TO, and SIE exams. The firm specializes in the distribution of sell-side research reports and corporate access as well as acting as a solicitor.
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.
(1) distribution of sell-side research reports/corporate access (2) solicitor
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.
Set rates for specific services, regardless of time or assets managed.
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2
CA
08/23/2022 - Present
Roth Capital Partners, LLC (NEWPORT BEACH CA)
BC
Issued 02/13/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 08/30/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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