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Patrick James Landers

CRD# 1052235·Registered 1982 - 2014
Previously Registered: Being a previously registered professional could mean that Patrick is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Patrick James Landers was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 1982 - 2014. Patrick had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

LLM CAPITAL PARTNERS LLC·CRD# 163107
RIA
Boston, MA
September 26, 2013 - February 27, 2014
ANNASCAUL ADVISORS LLC·CRD# 124349
BD
Stamford, CT
June 1, 2004 - December 15, 2014
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
June 29, 1998 - February 14, 2001
SBC WARBURG DILLON READ INC.·CRD# 1650
BD
Stamford, CT
September 24, 1982 - June 29, 1998

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Current Firm

LC
LLM CAPITAL PARTNERS LLC

LLM ADVISORS LLC ("RELYING ADVISER") | LLM CAPITAL PARTNERS LLC | LLM ADVISORS LP ("RELYING ADVISER")

CRD#: 163107 / SEC#: 802-112926
RIA
Registered Investment Advisory firm - SEC (3/21/2018 Terminated)
California
Registered Investment Advisory firm - California (2/19/2014 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

265 Franklin Street 20th Floor, Boston, MA 02110

Phone Number

(617) 512-6027

Documents

Latest Form ADV

Part 2 Brochures

LLM CAPITAL PARTNERS LLC BROCHURE (3/31/2017)

Exempt reporting advisers


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn1/30/2024
MassachusettsERA - Active3/23/2018

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2013About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2004About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2014About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 1992About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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