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Sheila Patricia Slattery

Roth Capital Partners, LLC

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About Sheila Patricia Slattery

Sheila Slattery is an investment advisor representative registered with Roth Capital Partners, LLC, a broker-dealer and investment advisor based in Stamford, Connecticut. She is also a Series 27 principal, Series 7 general securities representative, and Series 99 Operations Professional. She has been active in the financial industry since November 1996. Prior to joining Roth Capital Partners, LLC, Sheila was employed at MKM PARTNERS LLC in Stamford, CT, and previously at Schon-EX LLC in Jericho, NY, as well as other firms in the New York metropolitan area.

Firm Information

Sheila Slattery 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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Sheila Slattery’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

12/01/2010 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

06/29/2007 - 12/02/2010

SCHON-EX LLC (JERICHO NY)

NY

04/26/2005 - 01/05/2010

SCHONFELD SECURITIES, LLC (JERICHO NY)

NY

08/30/2005 - 12/19/2006

SCHON-EX LLC (JERICHO NY)

NY

07/01/2004 - 04/25/2005

CALYON SECURITIES (USA) INC (NEW YORK NY)

CT

09/02/1997 - 10/13/1997

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

10/22/1996 - 09/02/1997

SBC WARBURG, INC. (NEW YORK NY)

NY

04/15/1993 - 10/09/1996

CITICORP SECURITIES, INC. (NEW YORK NY)

NA

07/18/1989 - 09/23/1992

CRESVALE INTERNATIONAL, INC.

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Licenses & Designations

BC

Issued 06/29/2004

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/1989

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 Sheila Patricia Slattery.
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