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Salvatore Peter Morreale

Roth Capital Partners, LLC

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About Salvatore Peter Morreale

Salvatore Peter Morreale is a financial professional with over 40 years of experience in the industry. Salvatore is currently registered with Roth Capital Partners, LLC and has also worked for MKM PARTNERS LLC, CANTOR FITZGERALD & CO., SHEARSON LEHMAN HUTTON INC., FOSTER & MARSHALL INC., LOWELL H. LISTROM & COMPANY INC., SOMERS, GROVE & CO., INC., QUINCY CASS ASSOCIATES, INC., and MABON, NUGENT & CO. Salvatore is a Series 7, Series 63, Series 1, PC, and SIE licensed professional.

Firm Information

Salvatore Morreale 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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Salvatore Morreale’s Registration & Firm History

CA

01/31/2023 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

11/21/2017 - 01/31/2023

MKM PARTNERS LLC (NEWPORT BEACH CA)

CA

05/07/1990 - 11/03/2017

CANTOR FITZGERALD & CO. (LOS ANGELES CA)

NY

02/27/1989 - 04/23/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

WA

10/23/1986 - 03/11/1989

FOSTER & MARSHALL INC. (SEATTLE WA)

NA

03/14/1985 - 07/28/1986

LOWELL H. LISTROM & COMPANY INC.

NA

04/05/1983 - 02/06/1985

SOMERS, GROVE & CO., INC.

NA

02/14/1982 - 03/11/1983

QUINCY CASS ASSOCIATES, INC.

NA

02/20/1975 - 01/17/1982

MABON, NUGENT & CO.

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Licenses & Designations

BC

Issued 01/23/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/1989

PC - AMEX Put and Call Exam

BC

Issued 02/13/1975

Series 1 - Registered 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 Salvatore Peter Morreale.
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