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Rebecca Reeves

Roth Capital Partners, LLC

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About Rebecca Reeves

Rebecca Reeves is a financial professional with over 16 years of experience in the financial services industry. Rebecca is currently registered with Roth Capital Partners, LLC and has a Series 7, Series 24 and Series 63 license. Rebecca has previously held positions with MKM Partners LLC, Cantor Fitzgerald & Co., Stephens, Cowen and Company, Morgan Stanley & Co., Incorporated and Morgan Stanley DW Inc.

Firm Information

Rebecca Reeves 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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Rebecca Reeves’s Registration & Firm History

TX

01/31/2023 - Present

Roth Capital Partners, LLC (AUSTIN TX)

TX

06/12/2019 - 01/31/2023

MKM PARTNERS LLC (AUSTIN TX)

IL

06/05/2018 - 06/10/2019

CANTOR FITZGERALD & CO. (CHICAGO IL)

IL

03/01/2016 - 03/01/2017

STEPHENS (CHICAGO IL)

IL

04/04/2007 - 11/04/2015

COWEN AND COMPANY (CHICAGO IL)

TX

04/02/2007 - 04/20/2007

MORGAN STANLEY & CO., INCORPORATED (DALLAS TX)

TX

09/05/2005 - 04/02/2007

MORGAN STANLEY DW INC. (DALLAS TX)

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Licenses & Designations

BC

Issued 10/13/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/25/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/02/2005

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 Rebecca Reeves.
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