Institutional Sales & Trading

Sales and Trading Professionals with a Mean of Over 20 Years in the Industry

Over 20 sales representatives maintain a daily dialog with top growth portfolio managers.

Our broad institutional coverage includes investors in North America, Canada, United Kingdom, Europe and other international territories.

Sales

Our team is comprised of team members with extensive experience who are focused on helping our micro-cap and small-cap clients achieve greater liquidity.

Expertise

The Roth team has a unique array of knowledge and expertise in the small and micro-cap markets. Our team seeks to truly understand our investment recommendations by partnering with our research team to recognize macro and micro trends.  Personally knowing the management teams of the companies we cover and provide clients an enriched experience through corporate access events, including investor conferences, non-deal road shows, conference calls, site visits, and industry specific events.

Sales Focus

Our focus is on institutional money managers, mutual funds, hedge funds, registered investment advisors, and family offices.

Highlights

  1. Diversified backgrounds with experience in corporate finance, research and operations.
  2. Our sales team partners with our research team to understand macro and micro trends that drive fundamental changes of the companies under our coverage.
  3. Long-standing relationships with many of the top small-cap portfolio managers around the country.
  4. A sales team that seeks to truly understand our investment recommendations and to personally know the management teams of the companies under our coverage.
  5. Coordinate corporate access events for fresh insight into growth-oriented companies. 
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Trading

Our Trading Team prides itself on creating liquidity in illiquid markets. Our experienced market makers and sales traders provide timely and efficient execution of transactions in both Listed and NASDAQ issues.

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Trading Activities

  • Institutional Orders
  • Block Trades
  • Rule 144 Transactions
  • Corporate Buybacks
  • Retail Orders

For More Information, Contact:

Ed Lainfiesta
Head of Institutional Sales
949-720-7111
elainfiesta@roth.com


Philip DiNapoli

Director of Trading 
949-720-5749
pdinapoli@roth.com

Our Sales Team

Our team is comprised of team members with extensive experience who are focused on helping our micro-cap and small-cap clients achieve greater liquidity.

Tony Caserta

Managing Director, Institutional Sales

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Joey Ferro

Managing Director, Institutional Sales

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Stephen J. Hutsko

Managing Director, Institutional Sales

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Nikolai Myers

Managing Director, Institutional Sales

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Richard Nunis

Institutional Sales

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Jeremy Peskoff

Managing Director, Institutional Sales

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Brad Podolec

Managing Director, Institutional Sales

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Ron Reede

Managing Director, Institutional Sales

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Jeremy Schwartz

Managing Director, Institutional Sales

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Thomas Schwartz

Managing Director, Institutional Sales

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Gregory Tuerk

Managing Director, Institutional Sales

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Greg Waters

Managing Director, Institutional Sales

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Keith Wellen

Managing Director, Institutional Sales

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Cynthia Whitney

Managing Director, Institutional Sales

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Richard Tuohey

Senior Vice President, Institutional Sales

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Jonathan Mordoh

Senior Vice President, Institutional Sales

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Our Trading Team

Mark Anastasi

Equity Sales Trader

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Tyanne Andrade

Institutional Sales Trader Associate

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Eric Krogius

Sales Trader

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Bruce Silverman

Equity Trader

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Ary Zomorodi

Institutional Equity Sales Trader

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