RL
Robert W. Larsen
OPTIMA CAPITAL LLC
Visalia, CA 93277
Some features on this profile are disabled
CRD#: 4457629
RL
Professional summary
Robert Wayne Larsen, who also goes by Robert W Larsen, Robert Wayne Larsen, is a registered financial advisor currently at OPTIMA CAPITAL LLC located in Visalia, California and PURSHE KAPLAN STERLING INVESTMENTS located in Visalia, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Robert has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert W Larsen | Robert Wayne Larsen
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) OPTIMA CAPITAL LLC. Investment Related. Located at 3745 W. Caldwell Ave. Suite F, Visalia, CA 93277. RIA. Start 8/2022. 80 hours per month, all during trading hours. Duties - Provide advice to clients, financial planning, wealth advisory. 2) FIXED INSURANCE. Investment Related. Located at 3745 W. Caldwell Ave. Suite0FG, Visalia, CA 93277. Fixed/ Traditional Insurance. Position - Agent. Start - 06/2022. 5 hours per month, all during trading hours. Duties - Sales of Fixed/ Traditional insurance products. 3) INHERITANCE MANAGEMENT, INC. Investment Related. Located at 3745 W. Caldwell Ave. Suite F, Visalia, CA 93277. C-Corp. President. Start 7/1992. 120 hours per month, all during trading hours. Duties - Insurance and other investments. 4) Faith Baptist Church. Not Investment related. Located at 3833 W. Walnut Ave, Visalia, CA 93277. Church. Member of Deacon Board. Start 1/2020. 3 hours per month, not during trading hours. Duties - Church Budget and building/ facilities planning. 5) PKS Financial. Not Investment related. 80 State Street, Albany NY 12207. Insurance. Agent. Start 8/2022. 20 hours per month, all during trading hours. Duties - Sales of registered investment products.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Wayne Larsen'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 16, 2022 - Present
OPTIMA CAPITAL LLC
Office #1: 3745 W Caldwell Ave. Suite F, Visalia, CA 93277RIA
CRD#: 310146
Visalia, CA
Current
August 16, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 3745 W. Caldwell Ave Suite F, Visalia, CA 93277BD
CRD#: 35747
Visalia, CA
Past
November 13, 2019 - July 29, 2020
OPTIMA CAPITAL LLC
RIA
CRD#: 305513
Visalia, CA
Past
November 2, 2018 - August 18, 2022
OSAIC WEALTH, INC.
RIA
CRD#: 23131
VISALIA, CA
Past
November 2, 2018 - August 18, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
VISALIA, CA
Past
September 5, 2017 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
VISALIA, CA
Past
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
VISALIA, CA
Past
October 6, 2010 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
VISALIA, CA
Past
December 19, 2003 - October 6, 2010
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
VISALIA, CA
Past
January 17, 2002 - January 21, 2004
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
OC
OPTIMA CAPITAL LLC
OPTIMA CAPITAL LLC | PREMIER NETWORK
CRD#: 310146 / SEC#: 801-120712
RIA
Registered Investment Advisory firm - (4/5/2021 Approved)California
Registered Investment Advisory firm - (5/13/2021 Terminated)Kansas
Registered Investment Advisory firm - (4/13/2021 Terminated)Missouri
Registered Investment Advisory firm - (4/13/2021 Terminated)Oregon
Registered Investment Advisory firm - (4/20/2021 Terminated)Texas
Registered Investment Advisory firm - (4/13/2021 Terminated)Washington
Registered Investment Advisory firm - (5/13/2021 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.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
Arizona(8/16/2022)
RR
California(8/16/2022)
IAR
California(8/16/2022)
RR
Georgia(8/16/2022)
RR
Idaho(8/16/2022)
RR
Illinois(8/16/2022)
RR
Montana(8/16/2022)
RR
Nevada(8/16/2022)
IAR
Oregon(8/18/2025)
RR
Tennessee(8/16/2022)
RR
Texas(8/16/2022)
IAR
Texas(11/4/2022)
RR
Utah(8/16/2022)
RR
Virginia(8/16/2022)
RR
Washington(8/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OC
OPTIMA CAPITAL LLC
OPTIMA CAPITAL LLC | PREMIER NETWORK
CRD#: 310146 / SEC#: 801-120712
RIA
Registered Investment Advisory firm - (4/5/2021 Approved)California
Registered Investment Advisory firm - (5/13/2021 Terminated)Kansas
Registered Investment Advisory firm - (4/13/2021 Terminated)Missouri
Registered Investment Advisory firm - (4/13/2021 Terminated)Oregon
Registered Investment Advisory firm - (4/20/2021 Terminated)Texas
Registered Investment Advisory firm - (4/13/2021 Terminated)Washington
Registered Investment Advisory firm - (5/13/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Sw 116th Ave., Beaverton, OR 97225
Mailing Address
10940 Sw Barnes Road # 127, Portland, OR 97225
Phone number
(503) 270-1314
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,409 |
| AUM (Assets Under Management) | $ 292,800,549 |
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.
