Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Baldry is a financial professional with over 25 years of experience in the industry. Richard is currently registered with Roth Capital Partners, LLC and has been with the firm since 2013. Prior to that, Richard worked with Wunderlich Securities, Inc., Signal Hill Capital Group LLC, Canaccord Adams Inc., First Albany Capital Inc., and Roth Capital Partners, LLC. Richard holds multiple licenses and certifications, including Series 7, Series 16, Series 63, Series 87 and SIE. Richard’s expertise lies in providing advisory services, including distribution of sell-side research reports/corporate access, and acting as a solicitor.
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.
(1) distribution of sell-side research reports/corporate access (2) solicitor
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.
Set rates for specific services, regardless of time or assets managed.
1
2
CA
10/23/2013 - Present
Roth Capital Partners, LLC (NEWPORT BEACH CA)
MD
08/05/2011 - 10/21/2013
WUNDERLICH SECURITIES, INC. (BALTIMORE MD)
MD
07/19/2010 - 08/04/2011
SIGNAL HILL CAPITAL GROUP LLC (BALTIMORE MD)
NY
07/24/2007 - 05/14/2010
CANACCORD ADAMS INC. (NEW YORK NY)
MA
04/05/2005 - 07/02/2007
FIRST ALBANY CAPITAL INC. (BOSTON MA)
CA
05/27/2003 - 03/31/2005
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
PA
09/28/1999 - 05/22/2003
EMERGING GROWTH EQUITIES, LTD. (BRYN MAWR PA)
NY
01/20/1999 - 08/24/1999
PENNSYLVANIA MERCHANT GROUP LTD. (NEW YORK NY)
MI
08/17/1995 - 06/23/1998
OLDE DISCOUNT CORPORATION (DETROIT MI)
BC
Issued 07/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/23/1996
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 07/24/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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