Larry G. Nissen

ROCHESTER INVESTMENTS

RUSH, NY

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CRD#: 5179572

Professional summary

Larry Giles Nissen is a registered financial advisor currently at ROCHESTER INVESTMENTS located in Rush, New York.

Larry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Larry has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Giles Nissen'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 3, 2021 - Present

ROCHESTER INVESTMENTS

RIA

CRD#: 306782

RUSH, NY

Past

July 18, 2006 - September 22, 2020

CADARET, GRANT & CO., INC.

CRD#: 10641

DUNNELLON, FL

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".

ROCHESTER INVESTMENTS

ROCHESTER INVESTMENTS | ROCHESTER INVESTMENTS INC

CRD#: 306782 / SEC#: 801-119583

RIA

Registered Investment Advisory firm - (10/5/2020 Approved)

New York

Registered Investment Advisory firm - (10/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(9/9/2021)

IAR

New York
(9/3/2021)

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 65

Date: 9/3/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2006

General Securities Representative Examination

Current Firm

ROCHESTER INVESTMENTS

ROCHESTER INVESTMENTS | ROCHESTER INVESTMENTS INC

CRD#: 306782 / SEC#: 801-119583

RIA

Registered Investment Advisory firm - (10/5/2020 Approved)

New York

Registered Investment Advisory firm - (10/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2022 Terminated)

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Contact information

Main Address

1580 W Ridge Rd, Rochester, NY 14615

Mailing Address

Phone number

(585) 568-6656

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	325
AUM (Assets Under Management)	$ 58,706,582

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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Larry G. Nissen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Giles Nissen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCHESTER INVESTMENTS

CADARET, GRANT & CO., INC.

Primary Firm SEC Registration

ROCHESTER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/2021

Series 63

Date: 7/12/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2006

Current Firm

ROCHESTER INVESTMENTS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCHESTER INVESTMENTS

TRUST BUT VERIFY

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