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Scott Lewis Stember

Roth Capital Partners, LLC

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About Scott Lewis Stember

Scott Lewis Stember is a financial professional with over 24 years of experience in the industry. Scott is currently registered with Roth Capital Partners, LLC. Previously, Scott has worked for several firms, including MKM Partners LLC, C. L. King & Associates, Inc. and Sidote & Company, LLC. Scott is a Series 63, Series 7, Series 86, and Series 87 licensed professional.

Firm Information

Scott Stember 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 Stember’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

04/04/2022 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NJ

04/14/2015 - 04/04/2022

C. L. KING & ASSOCIATES, INC. (HOBOKEN NJ)

NY

04/24/2000 - 04/02/2015

SIDOTI & COMPANY, LLC (NEW YORK NY)

NY

08/12/1997 - 02/26/1999

SCHRODER & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/28/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/11/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/30/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/11/1997

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 Lewis Stember.
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