MP
Mary L. Patch
ATLATL ADVISERS
Dubuque, IA
Some features on this profile are disabled
CRD#: 2953723
MP
Professional summary
Mary Lynne Patch, who also goes by Mary Lynne Sauser, Mary Sauser, Mary L Sauser, is a registered financial advisor currently at ATLATL ADVISERS located in Dubuque, Iowa.
Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Mary has worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary Lynne Sauser | Mary Sauser | Mary L Sauser
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) Patch Investment Solutions, LLC - DBA, Non-Investment Related, Dubuque, IA, ERISA consulting firm that assists advisors, consultants, and plan sponsors in assessing, improving, and enhancing retirement plans, owner since 10/2016, approximately 80 hours per month. (2) Rep Payee/Financial POA for Randy Sauser; Not investment related; 4871 Camelot Dr, Dubuque, IA 52002; Rep Payee; Handle financial activities for my disabled brother. Pay his bills and assist him with managing his money; less than 1% spent on OBA, 0% during trading. (3) Sister of Charity of the Blessed Virgin Mary; Not investment related; Religious Organization; 1100 Carmel Dr, Dubuque, IA 52003; Stewardship Committee Member; Committee meetings, review investments managed by Morgan Stanley, ask questions and provide feedback as needed; less than 1% spent, less than 1% during trading. (4) Patch Retirement Solutions, LLC; Not investment related; 4871 Camelot Dr Dubuque, IA 52002; Sole Proprietorship/Single Owner; ERISA Consulting sevices. Request Proposals, Plan Benchmarking, ERISA Project Consulting, Vendor Reviews and Management, Plan Design, Employee Education and Communication. These are project based; Start 10/27/16; 10 hrs/mo, 10 hrs/mo during trading. (5) Robert D Sauser Revocable Trust; not investment related; 4871 Camelot Drive, Dubuque, IA 52002; Trust; Trustee of Trust Fund for my deceased sibling. Manage the investment held by the trust and pay any bills; Start 2/23/2003; 1 hr/mo, 0 during trading. (6) Rep Payee Doug Sauser; not investment related; 4871 Camelot Dr Dubuque, IA 52002; Agent; Rep Payee for my disabled sibling; pay his living expenses bills from his Rep Payee account; Start 1/5/15; 1 hr/mo, 0 during trading. (7) American Retirement Association - Not investment related - 4401 N. Fairfax Drive, Suite 600, Arlington, VA 22203 - Co Chair of ASPPA Plan Consultant Magazine - Volunteer-Start: 11/1/2011 - 2 hr/mo, 2 hr/mo during trading
CRS (Client Relationship Summary) - RIA
Click below to view Mary Lynne Patch'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
August 8, 2023 - Present
ATLATL ADVISERS
RIA
CRD#: 284036
Dubuque, IA
Past
August 16, 2019 - July 31, 2023
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Dubuque, IA
Past
June 2, 2017 - November 1, 2019
WILLIAMS GROUP, LLC
RIA
CRD#: 288398
DUBUQUE, IA
Past
April 28, 2016 - March 28, 2017
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
NAPERVILLE, IL
Past
August 28, 2014 - May 11, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
NAPERVILLE, IL
Past
March 14, 2012 - June 10, 2014
TRADEMARK CAPITAL MANAGEMENT INC
RIA
CRD#: 110237
DUBUQUE, IA
Past
July 10, 2002 - March 22, 2006
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
JOPLIN, MO
Past
May 12, 2001 - February 10, 2012
STEELE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 107097
DUBUQUE, IA
Past
July 12, 1999 - July 6, 2000
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
February 1, 1999 - July 12, 1999
ARK FUNDS DISTRIBUTORS, LLC
BD
CRD#: 17685
PORTLAND, ME
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".
AA
ATLATL ADVISERS
ATLATL ADVISERS | FEDENIA ASSOCIATES, LLC | FEDENIA ADVISERS LLC | ATLATL ADVISERS LLC
CRD#: 284036 / SEC#: 801-129418
RIA
Registered Investment Advisory firm - (2/9/2024 Approved)California
Registered Investment Advisory firm - (4/7/2024 Terminated)Iowa
Registered Investment Advisory firm - (3/8/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (3/8/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Iowa(9/1/2023)
IAR
Wisconsin(8/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
AA
ATLATL ADVISERS
ATLATL ADVISERS | FEDENIA ASSOCIATES, LLC | FEDENIA ADVISERS LLC | ATLATL ADVISERS LLC
CRD#: 284036 / SEC#: 801-129418
RIA
Registered Investment Advisory firm - (2/9/2024 Approved)California
Registered Investment Advisory firm - (4/7/2024 Terminated)Iowa
Registered Investment Advisory firm - (3/8/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (3/8/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2921 Landmark Place Ste 501, Madison, WI 53713
Mailing Address
Phone number
(608) 351-4500
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 229,891,703 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
