Team Bio

Head of Institutional Sales

Scott Rothbaum


Scott has over 20 years of institutional and deal sales experience. He has extensive knowledge of IPO, Secondaries, PIPEs and Private Placements in equity capital markets. Scott began his career as a partner and Managing Director at Maxim Group, focused on equity sales of NASDAQ and NYSE new issues.

Prior to Maxim, Scott was Director of Institutional Sales at Joseph Gunnar, has spent the last 4 years building relationships with existing and new institutional clients, originating and executing public and private offerings. Over the last two decades, Scott has worked on hundreds of public offerings, specializing in tech & healthcare. Scott graduated Cum Laude from the State University of New York at Farmingdale with a degree in Business Administration and holds Series 7, 63 and 24 licenses.