PV
Patrick M. Van Roten
PLATFORM TECHNOLOGY PARTNERS
Woodbury, NY 11797
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CRD#: 2892385
PV
Professional summary
Patrick Michael Van Roten, who also goes by Patrick Michael Vanroten, is a registered financial advisor currently at PLATFORM TECHNOLOGY PARTNERS located in Woodbury, New York and SPIRE SECURITIES, LLC located in Woodbury, New York.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Patrick has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick Michael Vanroten
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.
1. IAR of Northeast Private Wealth Management, SEC RIA in NY. Effective 11/2019, Investment Advisory services for Fee. 2. Fixed insurance sales through Spire Insurance (affiliate) as of 11/2019. Commission based. time devoted as needed. 3. 63 Forest Avenue Holding Company LLC; Owner; 08/30/2024; manage real estate property; rental income. 4. Overlap Holdings Fund I. Investor, no clients are involved. Limited Partner, Effective date 9/11/2025. Investment related. 5. Northeast SPV Fund I. Manage the SPV for our clients. General Partner and Limited Partner, Effective date 12/31/2021. Investment related. 6. Northeast SPV Fund II. Manage the fund for our clients. General Partner and Limited Partner, Effective date 10/2/2021. Investment related. 7. NE PTP Fund IV and IV 3(c)1. Manage the fund for our clients. General Partner and Limited Partner, Effective date 4/25/2024. Investment related. 8. Northeast Real Estate Opp Fund. Manage the fund for our clients. General Partner and Limited Partner, Effective date 7/23/2025. Investment related. 9. Northeast- Patchogue LP. Manage the fund for our clients. General Partner, Effective date 7/20/2025. Investment related. 10. Northeast BDC. Manage LP's investment in the fund. General Partner, Effective date 9/3/2025. Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Michael Van Roten's 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®
NoneExperience
Current
April 30, 2020 - Present
PLATFORM TECHNOLOGY PARTNERS
Office #1: 135 Crossways Park Drive Suite 104, Woodbury, NY 11797RIA
CRD#: 305602
Woodbury, NY
Current
November 8, 2019 - Present
SPIRE SECURITIES, LLC
Office #1: 135 Crossways Park Drive Suite 404, Woodbury, NY 11797BD
CRD#: 144131
Woodbury, NY
Past
March 26, 2010 - December 31, 2014
MORGAN STANLEY
RIA
CRD#: 149777
GARDEN CITY, NY
Past
March 12, 2010 - November 13, 2019
MORGAN STANLEY
BD
CRD#: 149777
GARDEN CITY, NY
Past
June 30, 2005 - March 19, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
UNIONDALE, NY
Past
November 15, 2002 - March 19, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
UNIONDALE, NY
Past
December 5, 1997 - November 27, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
PT
PLATFORM TECHNOLOGY PARTNERS
NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS
CRD#: 305602 / SEC#: 801-117439
RIA
Registered Investment Advisory firm - (10/7/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(11/8/2019)
RR
Florida(11/8/2019)
RR
Massachusetts(11/8/2019)
RR
Mississippi(6/14/2024)
RR
New Hampshire(11/8/2019)
RR
New Jersey(11/8/2019)
IAR
New Jersey(4/30/2020)
RR
New York(11/8/2019)
IAR
New York(11/22/2022)
RR
Pennsylvania(11/8/2019)
RR
South Carolina(11/8/2019)
IAR
Texas(5/27/2020)
RR
Utah(11/8/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PT
PLATFORM TECHNOLOGY PARTNERS
NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS
CRD#: 305602 / SEC#: 801-117439
RIA
Registered Investment Advisory firm - (10/7/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
475 Fifth Ave Suite 1501, New York, NY 10017
Mailing Address
Phone number
(212) 444-2362
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,939 |
| AUM (Assets Under Management) | $ 1,090,849,298 |
Red Flags
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