Michael J. Ottman

SPECTRUM ASSET MANAGEMENT

Paia,, HI

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CRD#: 1523128

Professional summary

Michael James Ottman, CFP®, who also goes by Mike Ottman, is a registered financial advisor currently at SPECTRUM ASSET MANAGEMENT INC located in Paia,, Hawaii.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Michael has worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Ottman

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.

1) MICHAEL OTTMAN, INSURANCE AGENT, NOT INVESTMENT RELATED, PAIA, HI, LIFE AND LONG TERM CARE INSURANCE, START 09/1986, 1 HOUR PER MONTH, 0 HOURS DURING TRADING HOURS, ASSESS INSURANCE NEEDS AND MAKE RECOMMENDATIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Ottman'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®

CFP^®

CRD#: 23131

NEWPORT BEACH, CA

Past

May 23, 1995 - August 11, 2006

OTTMAN FINANCIAL SERVICES

RIA

CRD#: 112035

NEWPORT BEACH, CA

Past

March 10, 1992 - August 19, 1996

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

July 23, 1986 - March 10, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

SPECTRUM ASSET MANAGEMENT INC

CRD#: 111007 / SEC#: 801-30377

RIA

Registered Investment Advisory firm - (9/4/1987 Approved)

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
(12/17/2013)

IAR

Hawaii
(12/17/2013)

IAR

Texas
(9/28/2017)

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

Series 63

Date: 2/4/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Current Firm

SPECTRUM ASSET MANAGEMENT INC

CRD#: 111007 / SEC#: 801-30377

RIA

Registered Investment Advisory firm - (9/4/1987 Approved)

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Contact information

Main Address

1301 Dove Street Suite 720, Newport Beach, CA 92660-2453

Mailing Address

Phone number

(949) 717-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	941
AUM (Assets Under Management)	$ 640,063,728

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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Firm Stability Insights

Michael J. Ottman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Ottman's CRS (Customer Relationship Summary).

Certified licenses

Experience

OTTMAN FINANCIAL GROUP, INC.

JEANCO FINANCIAL,INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OTTMAN FINANCIAL SERVICES

TRANSAMERICA FINANCIAL ADVISORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SPECTRUM ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/1988

Series 7

Date: 7/19/1986

Current Firm

SPECTRUM ASSET MANAGEMENT INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM ASSET MANAGEMENT INC

TRUST BUT VERIFY

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