Lawrence J. Botzman

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CRD#: 2188701

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.

Lawrence Joseph Botzman, CFP®, who also goes by Larry Botzman, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1991. Lawrence had worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Botzman

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.

Lawrence Botzman is a licensed insurance agent. Carpetbaggers LLC; investment related: No; 406 East Mount Vernon St Somerset Kentucky 42501; Business office and raw property; Manager Owner; Owner; 2002-08-28; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 0.

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®

CFP^®

Certified Financial Planner

Experience

Past

June 16, 2021 - October 25, 2023

KPP ADVISORY SERVICES LLC

RIA

CRD#: 289507

Somerset, KY

Past

December 18, 2002 - October 6, 2021

GOLDENROD FINANCIAL LLC

RIA

CRD#: 122310

SOMERSET, KY

Past

December 18, 1991 - August 11, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/17/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/17/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

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Contact information

Main Address

9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222

Mailing Address

Phone number

(502) 394-0400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A KPP ADVISORY SERVICES LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts	3,405
AUM (Assets Under Management)	$ 874,251,636

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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Lawrence J. Botzman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KPP ADVISORY SERVICES LLC

GOLDENROD FINANCIAL LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

KPP ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/1991

Series 6

Date: 12/17/1991

Current Firm

KPP ADVISORY SERVICES LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KPP ADVISORY SERVICES LLC

TRUST BUT VERIFY

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