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Timothy J Hegarty

Roth Capital Partners, LLC

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About Timothy J Hegarty

Timothy J Hegarty is a registered representative with Roth Capital Partners, LLC. Timothy has been active in the industry since April 19, 2001, and holds several licenses including Series 7, Series 24, Series 55, Series 57TO, Series 79TO and Series 99TO. Timothy was previously registered with MKM PARTNERS LLC and INSTINET CLEARING SERVICES, INC.. Timothy J Hegarty is registered in Connecticut, North Carolina, and Ohio.

Firm Information

Timothy Hegarty 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 Hegarty’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

07/10/2003 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

NY

04/20/2001 - 07/14/2003

INSTINET CLEARING SERVICES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/20/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/27/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/24/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/18/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Timothy J Hegarty.
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