Institutional Equity Sales

Roth Capital Partners, LLC is a relationship-driven investment bank focused on serving growth companies and their investors. Our full-service platform provides capital markets solutions, including high-impact equity research, macroeconomic perspectives, institutional sales and trading, technical insights, derivatives strategies, and corporate access. Headquartered in Newport Beach, California, Roth is a privately held, employee-owned organization with offices throughout the U.S.

About the role

This is a senior, revenue-generating role responsible for building and maintaining relationships with institutional clients (hedge funds, family offices, mutual/pension funds, and other asset managers). The position involves generalist coverage, representing the full breadth of Roth’s institutional capabilities, including equity research, corporate access, capital markets transactions (IPOs, follow-ons, blocks), and trade execution. This role requires individual contribution, self-driven operations, high autonomy, commercial judgment, and cross-desk collaboration. The position may be based out of any of our U.S. offices.

Responsibilities

• Originate, develop, and manage relationships with institutional investor accounts across the buy side.
• Meet or exceed individual commission and revenue targets while managing account profitability and client servicing costs.
• Market and distribute the firm’s equity research, corporate access events, and desk strategists' event-driven and macro commentary.
• Distribute and cross-sell equity capital markets transactions, including IPOs, follow-on offerings, blocks, and secondary offerings to institutional accounts.
• Partner closely with research analysts, sales-trading, capital markets, and corporate access teams to ensure coordinated, high-quality client coverage.
• Maintain a deep working knowledge of covered sectors, market conditions, and portfolio manager/analyst priorities across accounts.
• Maintain compliance with all regulatory requirements (FINRA, SEC) and internal policies governing institutional sales conduct, including information barriers and research distribution rules.
• Represent the firm at industry conferences, non-deal roadshows, and client events.

Requirements

• 5-10+ years of institutional equity sales experience at a bulge bracket, middle-market, or boutique investment bank.
• Established, portable book of institutional investor relationships with a demonstrated track record of commission generation.
• Bachelor's degree required.
• Active Series 7 and Series 63 licenses required (or ability to obtain promptly).
• Clean U.S. regulatory record (FINRA BrokerCheck).

Skills

• Strong knowledge of equity markets, capital markets products, and sector fundamentals across a broad range of industries.
• Excellent relationship management, negotiation, and communication skills, with the executive presence to engage senior portfolio managers and C-suite corporate clients.
• Demonstrated ability to work collaboratively across research, sales-trading, and capital markets desks.

Pay

This position is commission-based. Total compensation, including commission and any discretionary bonus, will vary based on experience, portable book of business, and individual production.