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Michael Quincy younghyuk Yim

Roth Capital Partners, LLC

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About Michael Quincy younghyuk Yim

Michael Quincy younghyuk Yim is a registered representative with Roth Capital Partners, LLC. Michael has been in the financial services industry since March 12, 2021. Michael has held previous roles at MKM PARTNERS LLC and AMERIPRISE FINANCIAL SERVICES, LLC. Michael is licensed in Connecticut and holds Series 7, Series 57, Series 63, and SIE licenses.

Firm Information

Michael Yim 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 Yim’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

10/18/2021 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

MN

03/13/2021 - 10/20/2021

AMERIPRISE FINANCIAL SERVICES, LLC (Minneapolis MN)

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Licenses & Designations

BC

Issued 04/09/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/15/2022

Series 57TO - Securities Trader Exam

BC

Issued 03/12/2021

Series 7TO - General Securities Representative Examination

BC

Issued 02/05/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Quincy younghyuk Yim.
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