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Michael Stephen Lesser

Roth Capital Partners, LLC

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About Michael Stephen Lesser

Michael Lesser is a registered representative with Roth Capital Partners, LLC in STAMFORD, CT. Michael has been in the industry since December 20, 2014. Prior to joining Roth Capital Partners, LLC, Michael was employed by MKM PARTNERS LLC in STAMFORD, CT, BERENBERG CAPITAL MARKETS LLC in NEW YORK, NY, and CHURCHILL CAPITAL USA, INC. in NEW YORK, NY. Michael holds the Series 7, Series 63, SIE and Series 87 licenses.

Firm Information

Michael Lesser 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 Lesser’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

09/04/2018 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

11/28/2016 - 07/11/2018

BERENBERG CAPITAL MARKETS LLC (NEW YORK NY)

NY

10/16/2014 - 11/16/2016

CHURCHILL CAPITAL USA, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/11/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/22/2018

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/16/2014

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 no public disclosures for Michael Stephen Lesser.
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