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Philip John Dinapoli

Roth Capital Partners, LLC

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About Philip John Dinapoli

Philip Dinapoli is a securities professional with over 30 years of experience. Philip is currently registered with Roth Capital Partners, LLC, a firm with offices in Newport Beach, CA and New York, NY. Philip has previously held positions at Sherwood Securities Corp., Spear Securities, Inc., JMC Investment Services, Inc., and Fidelity Brokerage Services, Inc. Philip has a broad range of experience in the securities industry, including investment company products/variable contracts, general securities, limited representative-equity trader, and securities trading. Philip holds the following FINRA registrations: Series 6, Series 7, Series 24, Series 55, and Series 57TO. Philip also holds the SIE and Series 99TO exams, Philip is also registered in 23 states.

Firm Information

Philip Dinapoli 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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Philip Dinapoli’s Registration & Firm History

CA

11/28/1994 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

05/26/1994 - 11/11/1994

SHERWOOD SECURITIES CORP. (NEW YORK NY)

NA

07/30/1993 - 05/18/1994

SPEAR SECURITIES, INC.

MA

01/17/1990 - 06/23/1993

JMC INVESTMENT SERVICES, INC. (BOSTON MA)

NA

04/07/1987 - 03/12/1988

FIDELITY BROKERAGE SERVICES, INC.

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Licenses & Designations

BC

Issued 04/14/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/08/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/12/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/20/1987

Series 7 - General Securities Representative Examination

BC

Issued 04/03/1987

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Philip John Dinapoli.
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