Best Investors
Account
Sign in
888 San Clemente Drive, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-28 |
| CA | RA | APPROVED | 2005-10-07 |
Branch Locations
888 San Clemente Drive, Suite 400, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Roth Capital Partners, Llc | Newport Beach | CA | 06/2006 | Present |
Name of Business: Roth Principal Investments, LLC Investment Related: Yes Business Address: 2340 Collins Avenue, Suite 402 Miami Beach, FL 33139 Nature of Business : Provide Equity Lines of Credit ("ELOC") to issuers/ELOC investors Position /Title: COO Start Date of Relationship: 08/20/2025 Approximate number of hours/month devoted to the business: 10 Approximate number of hours/month devoted to the business during securities trading hours: 5 Duties: Execution of ELOC Name of Business: RoHo Capital Opportunity Fund Investment Related: Yes Business Address: 312 Farmington Avenue, Farmington, Connecticut, 06032 Nature of Business : Entity will provide growth capital financing solutions to small- and micro-cap public companies based primarily in the U.S. Position /Title: Vice President Start Date of Relationship: 04/02/2026 Approximate number of hours/month devoted to the business: 20 Approximate number of hours/month devoted to the business during securities trading hours: 20 Duties: Interact with issuer clients to describe facility.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-15 |
Reach out to this advisor