Larson D. Patty

ROTHMAN INVESTMENT MANAGEMENT

Atascadero, CA 93422

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CRD#: 7604628

Professional summary

Larson Duncan Patty is a registered financial advisor currently at ROTHMAN INVESTMENT MANAGEMENT, LLC located in Atascadero, California.

Larson is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Larson has worked at 1 firm and has passed the Series 65 exam.

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.

I hold a real estate license in the state of Texas. Commissions are received from time to time for assisting with the purchase or sale of real estate. I am also a partner in several LLCs primarily used to hold real estate investments for lease. No commissions are associated with the LLCs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larson Duncan Patty'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®

None

Experience

Current

July 26, 2022 - Present

ROTHMAN INVESTMENT MANAGEMENT, LLC

Office #1: 9700 El Camino Real, Suite 302, Atascadero, CA 93422

RIA

CRD#: 173139

Atascadero, CA

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

California
(7/26/2022)

IAR

Texas
(7/26/2022)

IAR

Wyoming
(4/25/2023)

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: 5/26/2022

Uniform Investment Adviser Law Examination

Current Firm

ROTHMAN INVESTMENT MANAGEMENT, LLC

ROTHMAN INVESTMENT MANAGEMENT | ROTHMAN, JACOB T | ROTHMAN INVESTMENT MANAGEMENT, LLC

CRD#: 173139 / SEC#:

California

Registered Investment Advisory firm - (1/1/2015 Approved)

Georgia

Registered Investment Advisory firm - (3/23/2022 Approved)

Massachusetts

Registered Investment Advisory firm - (5/11/2015 Approved)

Texas

Registered Investment Advisory firm - (4/19/2022 Approved)

Wyoming

Registered Investment Advisory firm - (4/25/2023 Approved)

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Contact information

Main Address

9700 El Camino Real, Suite 302, Atascadero, CA 93422

Mailing Address

Phone number

(805) 286-6378

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	339
AUM (Assets Under Management)	$ 54,853,061

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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Larson D. Patty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larson Duncan Patty's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHMAN INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2022

Current Firm

ROTHMAN INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROTHMAN INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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