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Sean Patrick McGowan

Roth Capital Partners, LLC

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About Sean Patrick McGowan

Sean Patrick McGowan is a registered representative with Roth Capital Partners, LLC. Sean has been in the industry since December 31, 1995. Previously, Sean was registered with Oppenheimer & Co. Inc., Needham & Company, LLC, Wedbush Morgan Securities Inc. and BMO Capital Markets Corp. Sean holds the following FINRA licenses: Series 7, Series 16, Series 24, Series 86, and Series 87. Sean is currently registered in California.

Firm Information

Sean McGowan 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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Sean McGowan’s Registration & Firm History

CA

07/08/2021 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

08/03/2015 - 01/29/2016

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

10/29/2007 - 06/08/2015

NEEDHAM & COMPANY, LLC (NEW YORK NY)

NY

09/05/2006 - 10/24/2007

WEDBUSH MORGAN SECURITIES INC. (NEW YORK NY)

NY

05/21/1990 - 08/29/2006

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/01/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/01/1999

Series 24 - General Securities Principal Examination

BC

Issued 07/07/2021

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/01/2021

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 04/16/1999

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 05/18/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sean Patrick McGowan.
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