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<br />ADV All Pages <br /> <br />arbitration claim alleging damages in excess of $2,500, involving any of the following: <br />(1) any investment or an Investment-related business of activity? <br /> <br />(2) fraud, false statement, or omission? <br /> <br />(3) theft, embezzlement, or other wrongful taking of property? <br /> <br />(4) bribery, forgery, counterfeiting, or extortion? <br /> <br />(5) dishonest, unfair, or unethical practices? <br /> <br />For "yes" answers to the following questions, complete a Civil Judidal Action DRP: <br />F. Are you, any advisory affiliate, or any management person currently subject to, or have <br />you, any advisory affiliate, or any management person been found liable in, a civil, seff- <br />regulatory organization, or administrative proceeding Involving any of the following: <br />(1) an investment or investment-related business or activity? <br /> <br />(2) fraud, false statement, or omission? <br /> <br />(3) theft, embezzlement, or other wrongful taking of property? <br /> <br />(4) bribery, forgery, counterfeiting, or extortion? <br /> <br />(5) dishonest, unfair, or unethical practices? <br /> <br />G. Other Business Activities <br />(1) You are actively engaged in business as a(n) (check all that apply): <br /> <br />o Attorney <br /> <br />D Certified Public Accountant <br /> <br />o Tax Preparer <br /> <br />Page 19 of 36 <br /> <br />c c <br />c c <br />c c <br />c' c <br />c e, <br /> <br />c c <br />c c <br />c C- <br />..' <br />n c' <br />-' <br />e- n <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />Iprimary Business Name: PATTERSON &: ASSOCIATES IcRD Number: 110735 t <br /> <br />Rev. OS/2003 <br /> <br />~DV - Annual Amendment, Part lB, Page 3 <br />~/29/2004 11:09:50 AM <br /> <br />~art lB Item 2 - Additional Information (Continued) <br /> <br />(2) If you are actively engaged in any business other than those listed in Item 6.A of Part lA or <br />Item 2.G(1) of Part 18, describe the business and the approximate amount of time spent on <br />that business: <br /> <br />H. If you provide financial planning services, the investments made based on those services at the <br />end of your last fiscal year totaled: <br /> <br />Under $100,000 <br />$100,001 to $500,000 <br /> <br />Securities <br />Investments <br />C <br /> <br />C <br /> <br />Non-Securities <br />Investments <br />C <br /> <br />C <br /> <br />https:/lcrd.nasd.comlIad/Content/PrintHistJ Adv/Pages/cnCiad_Adv AllPages.asp?RefNum=&vi... 2/14/2005 <br />