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Richard Alan Brown

Roth Capital Partners, LLC

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About Richard Alan Brown

Richard Alan Brown is a securities professional with over 30 years of experience in the financial services industry. Richard is currently a Registered Representative at Roth Capital Partners, LLC. Previously, Richard was employed with MKM Partners LLC, Gleacher & Company Securities, Inc., Broadpoint Amtech, Inc., Soundview Technology Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard is a licensed Series 7, Series 24, Series 55, Series 57TO and SIE Representative and is registered in Connecticut and New York.

Firm Information

Richard Brown 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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Richard Brown’s Registration & Firm History

CA

01/31/2023 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CT

12/19/2011 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

06/16/2010 - 08/25/2011

GLEACHER & COMPANY SECURITIES, INC. (NEW YORK NY)

CT

08/28/2002 - 06/25/2010

BROADPOINT AMTECH, INC. (GREENWICH CT)

CT

03/09/1995 - 06/28/2002

SOUNDVIEW TECHNOLOGY CORPORATION (OLD GREENWICH CT)

NY

02/07/1992 - 02/06/1995

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

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Licenses & Designations

BC

Issued 07/07/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/07/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/16/1988

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 Richard Alan Brown.
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