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Patrick Michael Malcolm

Roth Capital Partners, LLC

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About Patrick Michael Malcolm

Patrick Malcolm is an investment advisor representative at Roth Capital Partners, LLC. He is registered with the Financial Industry Regulatory Authority (FINRA) and holds several securities licenses including the Series 7, 63, 72, 55, and 57TO. Patrick has been in the financial services industry since 1996. Before joining Roth Capital Partners, Patrick worked at MKM Partners LLC and Cantor Fitzgerald & Co. Patrick's specializations include distribution of sell-side research reports and corporate access.

Firm Information

Patrick Malcolm 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 Malcolm’s Registration & Firm History

TX

01/31/2023 - Present

Roth Capital Partners, LLC (AUSTIN TX)

TX

11/09/2017 - 01/31/2023

MKM PARTNERS LLC (Dallas TX)

TX

11/26/1996 - 11/03/2017

CANTOR FITZGERALD & CO. (DALLAS TX)

NY

06/26/1996 - 11/26/1996

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/15/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/25/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/26/1996

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 Patrick Michael Malcolm.
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