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Timothy Andrew Klagholz

Roth Capital Partners, LLC

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About Timothy Andrew Klagholz

Timothy Andrew Klagholz is a financial professional with over 14 years of experience in the industry. Timothy is currently registered with Roth Capital Partners, LLC and has previously worked with MKM PARTNERS LLC, SUSQUEHANNA FINANCIAL GROUP, LLLP and SUSQUEHANNA CAPITAL GROUP. Timothy holds the Series 63, Series 7, and SIE licenses.

Firm Information

Timothy Klagholz 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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Timothy Klagholz’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

11/12/2020 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

10/28/2009 - 12/01/2020

SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)

MA

04/20/2011 - 07/24/2013

SUSQUEHANNA CAPITAL GROUP (BOSTON MA)

PA

04/06/2009 - 10/28/2009

SUSQUEHANNA CAPITAL GROUP (BALA CYNWYD PA)

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Licenses & Designations

BC

Issued 05/13/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/03/2009

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 Timothy Andrew Klagholz.
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