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Patrick John Hearns

Roth Capital Partners, LLC

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About Patrick John Hearns

Patrick John Hearns is a financial professional with over 25 years of experience in the industry. Patrick currently works at Roth Capital Partners, LLC, a firm that offers advisory services to individuals and other investment advisors. Previously, Patrick worked at several firms, including MKM Partners LLC, Longbow Securities, LLC, and Ancora Securities, Inc. Patrick holds the Series 63, 24, 16, 87, SIE, 55, and 7 licenses and is registered in Connecticut.

Firm Information

Patrick Hearns 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 Hearns’s Registration & Firm History

IL

01/31/2023 - Present

Roth Capital Partners, LLC (Chicago IL)

IL

06/06/2022 - 01/31/2023

MKM PARTNERS LLC (Chicago IL)

OH

03/01/2006 - 07/26/2019

LONGBOW SECURITIES, LLC (INDEPENDENCE OH)

OH

12/18/2003 - 03/07/2006

ANCORA SECURITIES, INC. (INDEPENDENCE OH)

TN

01/02/2001 - 03/08/2002

FIRST TENNESSEE SECURITIES CORP. (MEMPHIS TN)

OH

02/10/1999 - 01/02/2001

MAXUS SECURITIES CORP (CLEVELAND OH)

NY

04/23/1992 - 08/27/1998

INSTINET CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/22/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/17/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/13/2023

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 10/31/2022

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/16/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/22/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Patrick John Hearns.
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