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Richard L Platt

Roth Capital Partners, LLC

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About Richard L Platt

Richard Platt is a financial professional with over 27 years of experience in the securities industry. Richard has worked at Roth Capital Partners, LLC since 1998, and previously at Prudential Securities Incorporated. Richard is a Series 24, 72, 57TO, SIE, 55 and 7 licensed professional. Richard is currently registered as a General Securities Representative. Richard has a proven track record of success in the financial services industry and is committed to providing clients with the highest level of service and expertise.

Firm Information

Richard Platt 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 Platt’s Registration & Firm History

CA

01/01/1998 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

02/04/1994 - 11/17/1995

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/31/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/28/2003

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/25/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Richard L Platt.
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