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Michael Howard Cohen

Roth Capital Partners, LLC

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About Michael Howard Cohen

Michael Cohen is a registered representative with Roth Capital Partners, LLC. Michael has been in the financial services industry since 1999. Prior to joining Roth Capital Partners, LLC, Michael worked at MKM Partners LLC, Princeton Securities Group, LLC, Ocean View Capital, LLC, Knight Equity Markets, L.P., Herzog, Heine, Geduld, LLC, Hilliard Farber Securities Corp., Hilliard Farber & Co., Inc., and Prime Capital Services, Inc. Michael holds the Series 7, Series 55, Series 57TO, and SIE licenses.

Firm Information

Michael Cohen 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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Michael Cohen’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

11/26/2012 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

06/10/2010 - 11/29/2012

PRINCETON SECURITIES GROUP, LLC (NEW YORK NY)

CA

01/28/2011 - 10/28/2011

OCEAN VIEW CAPITAL, LLC (RANCHO SANTA FE CA)

NJ

02/26/2002 - 12/02/2008

KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)

NY

03/13/2000 - 01/29/2002

HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)

NY

05/14/1999 - 03/07/2000

HILLIARD FARBER SECURITIES CORP. (NEW YORK NY)

NJ

02/10/1998 - 03/07/2000

HILLIARD FARBER & CO., INC. (JERSEY CITY NJ)

NY

10/29/1997 - 01/14/1998

PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)

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Licenses & Designations

BC

Issued 01/26/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/23/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/28/1997

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 are 3 public disclosures for Michael Howard Cohen. Review regulatory record here.
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