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Sagar Arvind Sheth

Roth Capital Partners, LLC

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About Sagar Arvind Sheth

Sagar Arvind Sheth is a financial professional with over 16 years of experience in the industry. Sagar is currently registered with Roth Capital Partners, LLC and has prior experience with MKM PARTNERS LLC, DEUTSCHE BANK SECURITIES INC., and UBS SECURITIES LLC. Sagar holds the Series 7, 24, 63, 79TO, and SIE licenses. Sagar's experience includes a focus on investment banking and distribution of sell-side research reports and corporate access.

Firm Information

Sagar Sheth 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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Sagar Sheth’s Registration & Firm History

IL

01/31/2023 - Present

Roth Capital Partners, LLC (Chicago IL)

IL

06/02/2014 - 01/31/2023

MKM PARTNERS LLC (Chicago IL)

IL

06/01/2010 - 02/03/2014

DEUTSCHE BANK SECURITIES INC. (CHICAGO IL)

IL

10/10/2006 - 04/29/2010

UBS SECURITIES LLC (CHICAGO IL)

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Licenses & Designations

BC

Issued 10/27/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/25/2015

Series 24 - General Securities Principal Examination

BC

Issued 06/06/2019

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/09/2006

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 Sagar Arvind Sheth.
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