Full text of ROTH CAPITAL PARTNERS, LLC's X-17A-5 filed 2025-08-28 (period 2025-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # ROTH CAPITAL PARTNERS, LLC (SEC I.D. No. 8-32129) STATEMENT OF FINANCIAL CONDITION AS OF JUNE 30, 2025 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \*\*\*\*\*\* Filed pursuant to Rule 17a-5(e)(3) under the Securities Act of 1934 as a **PUBLIC** Document. {1}------------------------------------------------ | 8-32129 | | |---------|--| | | 07/01/24 | | 06/30/25 | |------------------------------------------|-----------------|-----|----------------| | | | | | | | | | | | ROTH<br>CAPITAL | PARTNERS, | LLC | | | ■ | | | | | | | | | | 888<br>San<br>Clemente<br>Drive, | Suite<br>400 | | | | | | | | | Newport<br>Beach | CA | | 92660 | | | | | | | | | | | | Gordon<br>J.<br>Roth | 949<br>720-5774 | | groth@roth.com | | | | | | | | | | | | RSM<br>US<br>LLP | | | | | | | | | | 30<br>South<br>Wacker<br>Drive,<br>Suite | Chicago<br>330 | IL | 60606 | | | | | | | September<br>24,<br>2003<br>49 | | | | | | | | | {2}------------------------------------------------ | Gordon J. Roth | | | swear (or affirm) that, to the best of my knowledge and belief, the | |---------------------------------------------------------------------|------------------------------------------------------------------------------------------------------|------------|------------------------------------------------------------------------------------------------------------------------------------| | hancial report pertaining to the firm of Roth Capital Partners, LLC | | | as of | | 80 | | | 2 025 __ is true and correct. I further swear (or affirm) that neither the company nor any | | | | | artner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | that of a customer. | KATHLEEN HANG DIAZ | | | | | Notary Public - California<br>Orange County<br>Commission # 2472994<br>my Comm. Expires Nov 21, 2027 | Signature: | | | | | 114 a. | | - - - - - - - - - - - - - - - - - - - - - - - - - - - - {3}------------------------------------------------  #### **Report of Independent Registered Public Accounting Firm** Members and Board of Managers Roth Capital Partners, LLC #### **Opinion on the Financial Statement** We have audited the accompanying statement of financial condition of Roth Capital Partners, LLC (the Company) as of June 30, 2025, and the related notes (collectively, the financial statement). In our opinion, the financial statement pre…Read the full text as markdown