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Paul James Zaffaroni

Roth Capital Partners, LLC

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About Paul James Zaffaroni

Paul James Zaffaroni is a financial professional with over 20 years of experience in the industry. Paul is currently registered with Roth Capital Partners, LLC in Newport Beach, California. Paul has also previously worked at CIBC World Markets Corp. in Los Angeles, California and Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York. Paul holds several licenses including Series 7, Series 24, Series 63 and Series 79TO. Paul can provide a variety of services including the distribution of sell-side research reports/corporate access and solicitation services.

Firm Information

Paul Zaffaroni 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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Paul Zaffaroni’s Registration & Firm History

CA

03/22/2007 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

10/18/2005 - 02/05/2007

CIBC WORLD MARKETS CORP. (LOS ANGELES CA)

NY

09/15/1997 - 04/28/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/30/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/20/2016

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Paul James Zaffaroni.
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