Michael Q. Yim

ROTH CAPITAL PARTNERS

Stamford, CT 06901

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CRD#: 7332999

Professional summary

Michael Quincy Younghyuk Yim is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2021. Michael has worked at 3 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE 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 Michael Quincy Younghyuk Yim'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

October 18, 2021 - January 31, 2023

MKM PARTNERS LLC

CRD#: 114666

STAMFORD, CT

Past

March 13, 2021 - October 20, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minneapolis, MN

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)

Exams

State Security Law Exam

Series 63

Date: 4/9/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 12/15/2022

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 3/12/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/5/2021

Securities Industry Essentials 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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Michael Q. Yim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Quincy Younghyuk Yim's CRS (Customer Relationship Summary).

Certified licenses

Experience

MKM PARTNERS LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/2021

Series 57TO

Date: 12/15/2022

Series 7TO

Date: 3/12/2021

SIE

Date: 2/5/2021

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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