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Ronald Louis Boccio

Roth Capital Partners, LLC

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About Ronald Louis Boccio

Ronald Boccio is a financial professional with over 10 years of experience in the industry. Ronald is currently a Registered Representative with Roth Capital Partners, LLC. Previously, Ronald was affiliated with MKM PARTNERS LLC, CHINA RENAISSANCE SECURITIES (US) INC., CREDIT SUISSE SECURITIES (USA) LLC, WELLS FARGO ADVISORS, LLC and MORGAN STANLEY SMITH BARNEY. Ronald holds a Series 66, Series 7 and SIE license.

Firm Information

Ronald Boccio 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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Ronald Boccio’s Registration & Firm History

CA

01/31/2023 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CT

01/04/2022 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

06/02/2017 - 01/03/2022

CHINA RENAISSANCE SECURITIES (US) INC. (NEW YORK NY)

NY

01/28/2015 - 06/12/2017

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

10/01/2012 - 01/13/2015

WELLS FARGO ADVISORS, LLC (NEW YORK NY)

MD

07/19/2011 - 07/11/2012

MORGAN STANLEY SMITH BARNEY (COLUMBIA MD)

NY

08/19/2010 - 08/20/2010

BGC FINANCIAL, L.P. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 09/02/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/18/2010

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 Ronald Louis Boccio.
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