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Rohit Rangnath Kulkarni

Roth Capital Partners, LLC

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About Rohit Rangnath Kulkarni

Rohit Kulkarni is an investment professional with over 13 years of experience in the financial services industry. Rohit has held positions at several prominent firms including Citigroup Global Markets Inc., Robert W. Baird & Co. Incorporated, RBC Capital Markets, LLC, SharesPost Financial Corporation, and MKM Partners LLC. Rohit is currently registered with Roth Capital Partners, LLC in Connecticut and California. Rohit's professional experience includes distribution of sell-side research reports, corporate access and solicitation.

Firm Information

Rohit Kulkarni 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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Rohit Kulkarni’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CA

06/07/2019 - 01/31/2023

MKM PARTNERS LLC (SAN FRANCISCO CA)

CA

05/02/2016 - 03/13/2019

SHARESPOST FINANCIAL CORPORATION (SAN FRANCISCO CA)

CA

03/25/2014 - 04/28/2016

RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)

CA

06/12/2013 - 03/25/2014

ROBERT W. BAIRD & CO. INCORPORATED (SAN FRANCISCO CA)

NY

03/16/2010 - 06/18/2013

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

08/20/2009 - 02/18/2010

HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/25/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/12/2010

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 04/05/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/19/2009

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 is public disclosure for Rohit Rangnath Kulkarni. Review regulatory record here.
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