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Scott Thomas Fortune

Roth Capital Partners, LLC

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About Scott Thomas Fortune

Scott Thomas Fortune is a registered representative with Roth Capital Partners, LLC. Scott has been in the financial services industry since April 14, 2017. Scott has passed the Series 63, Series 86, Series 87, Series 7 and SIE examinations and holds a license in California. Previously, Scott held positions at American Express Financial Advisors Inc. and IDS Life Insurance Company. Scott is a specialist in research reports and corporate access and has extensive experience working with investment companies.

Firm Information

Scott Fortune 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 Fortune’s Registration & Firm History

CA

02/21/2018 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

MN

04/17/1998 - 02/22/1999

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

04/17/1998 - 02/22/1999

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 04/20/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/06/2018

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/18/2018

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/21/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Scott Thomas Fortune.
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