Corporate & Executive Services

ROTH’s Corporate & Executive Services Team focuses on providing liquidity for our corporate clients. As a market maker of small-cap growth stocks we are able to provide liquidity, without adversely affecting the price of your stock. Our team’s strong trading and compliance background helps guide you through transactions with the utmost sensitivity and minimal market disruption.

Corporate & Executive Services include:

• Corporate Stock Buybacks

• Restricted Stock Sales

• Rule 10b5-1 Plans

• Employee Stock Option Programs

• Directed Share Programs

Private Client Services include:

• Wealth Management

• Options Strategies / Hedging

• Fixed Income Products (Corporate, Treasury and Agency Bonds)

For more information, please contact:

John Weber
Managing Director, Corporate & Executive Services
949-720-7160
jweber@roth.com