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DR

Dion Rottman

AMERICAN TRUST INVESTMENT SERVICES
Los Angeles, CA 90045
Some features on this profile are disabled
CRD#: 2214219
DR

Professional summary

Dion Rottman, who also goes by Dion Carl Rottman, is a registered financial professional currently at AMERICAN TRUST INVESTMENT SERVICES, INC. located in Los Angeles, California.

Dion is registered as a RR (Registered Representative) and started their career in finance in 2015. Dion has worked at 4 firms and has passed the Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dion Carl Rottman

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) - BD

Click below to view Dion Rottman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 22, 2020 - Present

AMERICAN TRUST INVESTMENT SERVICES, INC.

Office #1: 8107 Loyola Blvd, Los Angeles, CA 90045
BD
CRD#: 3001
Los Angeles, CA
Past

January 29, 2018 - December 31, 2018

CAMDEN FINANCIAL SERVICES

BD
CRD#: 19925
KELLER, TX
Past

August 5, 2016 - October 2, 2017

LIGHTPATH CAPITAL, INC

BD
CRD#: 34617
SOUTHLAKE, TX
Past

March 20, 2015 - August 1, 2016

PRIMEX

BD
CRD#: 29394
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/23/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 3/20/2015
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AT
AMERICAN TRUST INVESTMENT SERVICES, INC.
AMERICAN TRUST INVESTMENT SERVICES ADVISORY | PEERSON & COMPANY, INC. | PEERSON & COMPANY INVESTMENT SERVICES | AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001 / SEC#: , 8-14394

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
910 S El Camino Real Suite 200, Whiting, IN 46394
Mailing Address
9040 Town Center Parkway, Lakewood Ranch, FL 34202
Phone number
(949) 524-2742
Established
Indiana since 12/23/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CCIG ACQUISITION COMPANY, LLCOWNER
DEVER, JAMES FRANCISCEO1840373
KESSLER, KRISTOPHER CHARLESPRESIDENT4543640
LIPPY, IAN EDWARDCHIEF OPERATING OFFICER6037326
ONESTO, RICHARD ERNESTFINANCIAL OPERATIONS PRINCIPAL2453096
SLAVINSKY, CHARLES JOSEPHCCO/MSRB/ROP2807658

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001Los Angeles, CA 90045

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