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Patrick John Caufield

Roth Capital Partners, LLC

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About Patrick John Caufield

Patrick John Caufield is a registered representative with Roth Capital Partners, LLC, based in Stamford, CT. Patrick has over 40 years of experience in the financial services industry. Patrick has held previous positions at MIZUHO SECURITIES USA LLC, MACQUARIE CAPITAL (USA) INC., MORGAN STANLEY & CO. INCORPORATED, CS FIRST BOSTON CORPORATION, DILLON, READ & CO. INC., PRUDENTIAL-BACHE SECURITIES INC., and BOENNING & SCATTERGOOD, INC. Patrick is licensed to sell securities in California, Connecticut, Maryland, New Jersey, and New York.

Firm Information

Patrick Caufield 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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Patrick Caufield’s Registration & Firm History

CT

07/10/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

NY

12/09/2014 - 03/02/2023

MIZUHO SECURITIES USA LLC (NEW YORK NY)

NY

04/01/2009 - 10/15/2014

MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)

NY

09/07/1995 - 04/01/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

03/02/1990 - 09/01/1995

CS FIRST BOSTON CORPORATION (NEW YORK NY)

CT

11/20/1985 - 03/06/1990

DILLON, READ & CO. INC. (STAMFORD CT)

NA

06/16/1983 - 11/18/1985

PRUDENTIAL-BACHE SECURITIES INC.

NA

04/20/1983 - 08/17/1983

BOENNING & SCATTERGOOD, INC.

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Licenses & Designations

BC

Issued 08/01/1991

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 11/03/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/16/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Patrick John Caufield.
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