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Scott Alexander Draper

Roth Capital Partners, LLC

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About Scott Alexander Draper

Scott Draper is a financial professional with over 40 years of experience in the industry. Scott is currently registered with Roth Capital Partners, LLC. Prior to that, Scott was registered with MKM PARTNERS LLC, MACRO RISK ADVISORS LLC, SUSQUEHANNA FINANCIAL GROUP, LLLP, BANC OF AMERICA SECURITIES LLC, SALOMON SMITH BARNEY INC., SALOMON BROTHERS INC., PAINEWEBBER INCORPORATED, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and MONTGOMERY SECURITIES. Scott holds a variety of licenses and certifications, including Series 3, 4, 7, 24, 55, 57TO and Series 63. Scott provides a variety of advisory services, including distribution of sell-side research reports and corporate access. Scott is also a solicitor for Roth Capital Partners.

Firm Information

Scott Draper 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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Scott Draper’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

03/21/2018 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

12/17/2014 - 07/07/2017

MACRO RISK ADVISORS LLC (RYE NY)

CT

02/17/2004 - 01/05/2015

SUSQUEHANNA FINANCIAL GROUP, LLLP (STAMFORD CT)

NY

02/16/2000 - 02/17/2004

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

11/28/1997 - 02/25/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

05/22/1992 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

NJ

03/22/1990 - 05/15/1992

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

06/11/1985 - 12/16/1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

01/05/1984 - 05/28/1985

MONTGOMERY SECURITIES

NA

10/24/1980 - 11/28/1983

SALOMON BROTHERS INC.

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Licenses & Designations

BC

Issued 02/22/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/30/2001

Series 24 - General Securities Principal Examination

BC

Issued 04/02/1984

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/24/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/12/1991

Series 3 - National Commodity Futures Examination

BC

Issued 10/18/1980

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 Scott Alexander Draper.
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