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Wendy Diane Farina

Roth Capital Partners, LLC

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About Wendy Diane Farina

Wendy Farina is a registered representative at Roth Capital Partners, LLC, a firm located in STAMFORD, CT. Wendy has been in the securities industry since December 2008 and has a Series 7, Series 63, Series 87, and Series 79TO license. Wendy's previous experience includes working at MKM PARTNERS LLC in STAMFORD, CT. Wendy is registered in Connecticut.

Firm Information

Wendy Farina 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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Wendy Farina’s Registration & Firm History

CT

01/31/2023 - Present

Roth Capital Partners, LLC (STAMFORD CT)

CT

12/03/2008 - 01/31/2023

MKM PARTNERS LLC (STAMFORD CT)

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Licenses & Designations

BC

Issued 01/27/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/02/2008

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 2 public disclosures for Wendy Diane Farina. Review regulatory record here.
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