Todd R. Dathe

ASPEN PRIVATE ADVISORS

Sioux Falls, SD 57108

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CRD#: 4200005

Professional summary

Todd Robert Dathe is a registered financial advisor currently at ASPEN PRIVATE ADVISORS, LLC located in Sioux Falls, South Dakota.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Todd has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. 11/1/2018 - e4 Insurance - Investment Related - At Reported Business Location(s) - Non-Variable insurance - 4 Hours Per Month/2 Hours During Securities Trading - Life Insurance 2. 05/07/2015 - Graber and Associates - Investment Related - At Reported Business Location(s) -Non-Variable Insurance - Started 06/01/2015 - 2 Hours Per Month/0 Hours During Securities Trading - Long term care, Medicare supplement, Medical insurance. 3. 10/31/2018 - Time Flys - Not Investment Related - 1201 West Russell Street, Sioux Falls SD 57104 - Other-Aircraft Ownership/Rental - Owner - Started 09/01/2018 - 3 Hours Per Month/0 Hours During Securities Trading - The LLC exists for the purpose of owning a one asset, a Cirrus SR22T airplane and renting that airplane to qualified pilots. 4. 06/01/2015 - Disability Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 1 Hours Per Month/0 Hours During Securities Trading - Disability Insurance 5. Aspen Consulting, LLC; not investment related; 5201 s. Western Ave Suite 103, Sioux Falls, SD 57108; Business Consulting; Business Consultant; 01/01/2021; 12 hours per month; 6 hours during securities trading hours; provide business consulting services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Robert Dathe'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

August 20, 2018 - Present

ASPEN PRIVATE ADVISORS, LLC

Office #1: 5201 South Western Avenue Suite 103, Sioux Falls, SD 57108

RIA

CRD#: 297639

Sioux Falls, SD

Past

May 13, 2015 - October 2, 2018

LEVEL FOUR ADVISORY SERVICES

RIA

CRD#: 134086

SIOUX FALLS, SD

Past

May 7, 2015 - August 23, 2019

LPL FINANCIAL LLC

CRD#: 6413

SIOUX FALLS, SD

Past

May 10, 2010 - May 8, 2015

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SIOUX FALLS, SD

Past

May 5, 2010 - May 8, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SIOUX FALLS, SD

Past

January 1, 2008 - May 6, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SIOUX FALLS, SD

Past

January 1, 2008 - May 6, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SIOUX FALLS, SD

Past

February 20, 2007 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SIOUX FALLS, SD

Past

June 10, 2003 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

SIOUX FALLS, SD

Past

March 11, 2003 - June 11, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

December 10, 2002 - July 22, 2003

DICE FINANCIAL INVESTMENT ADVISORY

RIA

CRD#: 123922

MITCHELL, SD

Past

June 13, 2000 - April 17, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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".

ASPEN PRIVATE ADVISORS, LLC

CRD#: 297639 / SEC#: 801-113814

RIA

Registered Investment Advisory firm - (8/13/2018 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.

Highlighted states indicate IAR registrations

IAR

South Dakota
(8/20/2018)

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

IAR

Series 66

Date: 2/16/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/25/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/30/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/1/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/15/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

ASPEN PRIVATE ADVISORS, LLC

CRD#: 297639 / SEC#: 801-113814

RIA

Registered Investment Advisory firm - (8/13/2018 Approved)

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Contact information

Main Address

5201 South Western Avenue Suite 103, Sioux Falls, SD 57108

Mailing Address

Phone number

(605) 951-9620

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (3/20/2025)

FORM ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	458
AUM (Assets Under Management)	$ 176,690,004

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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Firm Stability Insights

Todd R. Dathe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Robert Dathe's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEVEL FOUR ADVISORY SERVICES

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

EDWARD JONES

DICE FINANCIAL INVESTMENT ADVISORY

OSAIC WEALTH, INC.

Primary Firm SEC Registration

ASPEN PRIVATE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/16/2007

Series 65

Date: 3/25/2002

Series 63

Date: 6/19/2000

SIE

Date: 10/1/2018

Series 31

Date: 4/30/2009

Series 7

Date: 6/12/2000

Series 10

Date: 9/1/2011

Series 9

Date: 8/15/2011

Current Firm

ASPEN PRIVATE ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPEN PRIVATE ADVISORS, LLC

TRUST BUT VERIFY

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