Adam L. Patten

PROTA FINANCIAL

Houston, TX 77056-3845

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CRD#: 7210534

Professional summary

Adam Lee Patten is a registered financial advisor currently at PROTA FINANCIAL located in Houston, Texas.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Adam has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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 Adam Lee Patten'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

January 13, 2021 - Present

PROTA FINANCIAL

Office #1: 1980 Post Oak Blvd Suite 100, Houston, TX 77056-3845

RIA

CRD#: 283776

Houston, TX

Past

June 5, 2020 - January 20, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Houston, TX

Past

May 11, 2020 - January 20, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Houston, 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".

PROTA FINANCIAL

PROTA | PROTA FINANCIAL, LLC | PROTA FINANCIAL

CRD#: 283776 / SEC#: 801-125895

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

Texas

Registered Investment Advisory firm - (11/30/2022 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

Texas
(1/13/2021)

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 66

Date: 6/4/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/9/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/21/2020

Securities Industry Essentials Examination

Current Firm

PROTA FINANCIAL

PROTA | PROTA FINANCIAL, LLC | PROTA FINANCIAL

CRD#: 283776 / SEC#: 801-125895

RIA

Registered Investment Advisory firm - (6/16/2022 Approved)

Texas

Registered Investment Advisory firm - (11/30/2022 Terminated)

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Contact information

Main Address

1980 Post Oak Blvd Suite 100, Houston, TX 77056-3845

Mailing Address

Phone number

(713) 568-8171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROTA ADV PART 2 (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,643
AUM (Assets Under Management)	$ 233,673,316

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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Adam L. Patten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Lee Patten's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROTA FINANCIAL

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

PROTA FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2020

Series 7TO

Date: 5/9/2020

SIE

Date: 2/21/2020

Current Firm

PROTA FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROTA FINANCIAL

TRUST BUT VERIFY

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