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Richard Michael Niehuser

Roth Capital Partners, LLC

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About Richard Michael Niehuser

Richard Michael Niehuser is a financial advisor at Roth Capital Partners, LLC. Richard has been in the industry since March 30, 2011. Richard is registered in both California and Oregon. Richard has passed the Series 63, 7, 86, 87, and SIE exams. Prior to Roth Capital Partners, LLC, Richard worked at R. F. LAFFERTY & CO., INC., SCARSDALE EQUITIES LLC, THE ROBINS GROUP LLC, and DIGITALOFFERING, INC.

Firm Information

Richard Niehuser 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 Niehuser’s Registration & Firm History

CA

11/10/2021 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

09/02/2020 - 10/25/2021

R. F. LAFFERTY & CO., INC. (NEW YORK NY)

NY

01/15/2014 - 09/17/2020

SCARSDALE EQUITIES LLC (NEW YORK NY)

OR

11/11/2003 - 11/07/2005

THE ROBINS GROUP LLC (MILWAUKIE OR)

WA

02/12/2002 - 12/16/2002

DIGITALOFFERING, INC. (SPOKANE WA)

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Licenses & Designations

BC

Issued 01/31/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2014

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/28/2014

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 01/15/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Michael Niehuser.
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