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<br />ADV All Pages <br /> <br />Page 10 of 36 <br /> <br />[] (i) Broker-dealer <br />o (2) Registered representative of a broker-dealer <br />[J (3) Futures commission merchant, commodity pool operator, or commodity trading advisor <br />[j (4) Real estate broker, dealer, or agent <br />[J (5) Insurance broker or agent <br />o (6) Bank (including a separately identifiable department or division of a bank) <br />[] (7) Other financial product salesperson (specify): <br /> <br />YES NO <br /> <br />B. (1) Are you actively engaged In any other business not listed in Item 6.A. (other than <br />giving investment advice)? <br />(2) If yes, is this other business your primary business? <br /> <br />If "yes, " describe this other business on Section 6.B. of Schedule D. <br /> <br />c (!;. <br /> <br />(':; 0 <br /> <br />(3) Do you sell products or provide services other than investment advice to your <br />advisory dients? <br /> <br />YES NO <br />o G! <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />)primary Business Name: PATTERSON It ASSOCIATES IcRD Number: 110735 <br /> <br />Rev. OS/2003 <br /> <br />ADV - Annual Amendment, Page 10 <br />3/29/2004 11:09:50 AM <br /> <br />lItem 7 Financial Industry Affiliations ~ <br /> <br />In this Item, we request information about your financial industry affiliations and activities. This <br />information identifies areas in which conflicts of interest may occur between you and your dients. <br /> <br />Item 7 requires you to provide information about you and your related persons. Your related persons <br />are all of your advisory affiliates and any person that is under common control with you. <br /> <br />A. You have a related person that is a (check all that apply): <br />P-1 (1) broker-dealer, municipal securities dealer, or government securities broker or dealer <br />~ (2) investment company (including mutual funds) <br />Pi (3) other investment adviser (including financial planners) <br />[J (4) futures commission merchant, commodity pool operator, or commodity trading advisor <br />~ (5) banking or thrift institution <br />D (6) accountant or accounting firm <br />D (7) lawyer or law firm <br />~ (8) insurance company or agency <br />D (9) pension consultant <br />C (10) real estate broker or dealer <br />[J (11) sponsor or syndicator of limited partnerships <br /> <br />https://crd.nasd.comlIad/ContentIPrintHist/ AdvlPages/crd_iad_Adv AllPages.asp?RefNum=&vi... 2/14/2005 <br />