Scott A. Draper

ROTH CAPITAL PARTNERS

Stamford, CT 06901

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CRD#: 717739

Professional summary

Scott Alexander Draper is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1980. Scott has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Alexander Draper's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 31, 2023 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 677 Washington Blvd. Suite 510, Stamford, CT 06901

RIA

CRD#: 15407

Stamford, CT

Past

March 21, 2018 - January 31, 2023

MKM PARTNERS LLC

CRD#: 114666

STAMFORD, CT

Past

December 17, 2014 - July 7, 2017

MACRO RISK ADVISORS LLC

CRD#: 148143

RYE, NY

Past

February 17, 2004 - January 5, 2015

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

STAMFORD, CT

Past

February 16, 2000 - February 17, 2004

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

November 28, 1997 - February 25, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 22, 1992 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

March 22, 1990 - May 15, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 11, 1985 - December 16, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 5, 1984 - May 28, 1985

MONTGOMERY SECURITIES

CRD#: 4357

Past

October 24, 1980 - November 28, 1983

SALOMON BROTHERS INC.

CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(1/31/2023)

Florida
(2/28/2024)

Illinois
(2/28/2025)

New York
(2/28/2024)

Texas
(2/28/2024)

Exams

State Security Law Exam

Series 63

Date: 2/22/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 3/12/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/18/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/2/1984

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407 / SEC#: , 8-32129

California

Registered Investment Advisory firm - SEC (5/7/2001 Approved)

Florida

Registered Investment Advisory firm - SEC (6/28/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Mailing Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Phone number

(949) 720-5700

Established

California since 01/10/2001

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CR FINANCIAL HOLDINGS, INC.	MEMBER
AKDENIZ, NAZAN	COO	2522215
GUREWITZ, AARON MICHAEL	CO-CHIEF EXECUTIVE OFFICER	2244273
LAMARCHE, KRISTIN DIANE	CHIEF COMPLIANCE OFFICER	2582393
MORK, JONATHAN ANDREW	MANAGER	4349125
PANAGIOTIDIS, ALEX	ROSFP	4582559
PLATT, RICHARD L	GENERAL COUNSEL	2059118
ROTH, BYRON CLARENCE	CHAIRMAN/MANAGER	1768553
ROTH, GORDON JAMES	CHIEF FINANCIAL OFFICER/FINOP/MANAGER	3167226
ROTH, THEODORE DAVID	VICE CHAIRMAN	4615931
SHETH, SAGAR ARVIND	CO-CHIEF EXECUTIVE OFFICER	5209865

Disclosures

Regulatory Event	16
Arbitration	12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Scott A. Draper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Alexander Draper's CRS (Customer Relationship Summary).

Certified licenses

Experience

MKM PARTNERS LLC

MACRO RISK ADVISORS LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

BANC OF AMERICA SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MONTGOMERY SECURITIES

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1984

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/24/2000

Series 3

Date: 3/12/1991

Series 7

Date: 10/18/1980

Series 24

Date: 5/30/2001

Series 4

Date: 4/2/1984

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

ROTH CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTH CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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