Patrick J. Landers

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CRD#: 1052235

Professional summary

Being a previously registered professional could mean that this person 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.

Patrick James Landers was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 26, 2013 - February 27, 2014

LLM CAPITAL PARTNERS LLC

RIA

CRD#: 163107

BOSTON, MA

Past

June 1, 2004 - December 15, 2014

ANNASCAUL ADVISORS LLC

CRD#: 124349

STAMFORD, CT

Past

June 29, 1998 - February 14, 2001

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 24, 1982 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/15/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/1992

General Securities Principal Examination

Current Firm

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 - (3/21/2018 Terminated)

California

Registered Investment Advisory firm - (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).

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Contact information

Main Address

265 Franklin Street 20th Floor, Boston, MA 02110

Mailing Address

Phone number

(617) 512-6027

Established

Firm type

Fiscal year end

# of Employees

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 / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	1/30/2024
Massachusetts	ERA - Active	3/23/2018

Red Flags

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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Patrick J. Landers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LLM CAPITAL PARTNERS LLC

ANNASCAUL ADVISORS LLC

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2013

Series 63

Date: 6/23/2004

SIE

Date: 12/15/2014

Series 7

Date: 9/18/1982

Series 24

Date: 6/30/1992

Current Firm

LLM CAPITAL PARTNERS LLC

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

LLM CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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