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Barbod T Aschtiani

Other Names: Bobby Aschtiani
Firm:
Roth Capital Partners, LLC
Type: Registered Representative
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Description

Barbod Aschtiani a financial professional at Roth Capital Partners, LLC, a broker-dealer with 120 registered representatives CA. Barbod has held an industry securities registration for a year and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Barbod T Aschtiani has not answered any questions on Financial Q&A.

Top Guides

Barbod T Aschtiani has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
High Net Worth Individuals
Individuals
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Roth Capital Partners, LLC 2 years, 9 months Aug 2010 - Present
Global Hunter Securities, LLC 4 months Mar 2010 - Jul 2010
Wachovia 5 months Oct 2009 - Mar 2010
Bella Napoli 3 years, 1 month Aug 2006 - Sep 2009
Cal Sate Fullerton 5 years, 8 months Sep 2003 - May 2009
Aliso Niguel Highschool 3 years, 9 months Sep 1999 - Jun 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
01/05/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 09/03/2010
General Securities Representative Examination Series 7 07/26/2010

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets