Douglas M. Rotman

TRUE WEALTH STEWARDS

Carmel, IN 46032

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CRD#: 4284045

Professional summary

Douglas Matthew Rotman, CFP® is a registered financial advisor currently at TRUE WEALTH STEWARDS located in Carmel, Indiana.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

Planner Proverbs LLC, an education and information company which utilizes writing, speaking, audio and video recording, or other content or media to help teach, inform, and inspire. For educational and entertainment purposes only Title: Owner/CEO Start Date: 02/2020 Approximate total time in this activity: 12 hours per month Approximate time in this activity during trading hours: 0 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Matthew Rotman'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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

September 30, 2019 - Present

TRUE WEALTH STEWARDS

Office #1: 160 W Carmel Dr Ste 253, Carmel, IN 46032

RIA

CRD#: 305312

Carmel, IN

Past

March 18, 2016 - October 2, 2019

CADE GROUP, INC.

RIA

CRD#: 114970

CARMEL,, IN

Past

March 18, 2016 - October 2, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CARMEL, IN

Past

April 25, 2007 - March 29, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CARMEL, IN

Past

April 25, 2007 - March 29, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CARMEL, IN

Past

April 19, 2005 - April 11, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CARMEL, IN

Past

April 11, 2005 - April 11, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CARMEL, IN

Past

April 22, 2004 - March 31, 2005

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

June 30, 2003 - April 22, 2004

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

February 18, 2002 - September 8, 2005

NORTHWEST FINANCIAL SERVICES INC

RIA

CRD#: 106805

INDIANAPOLIS, IN

Past

November 10, 2000 - July 11, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, 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

Indiana
(9/30/2019)

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: 9/26/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2016

General Securities Principal Examination

Current Firm

TRUE WEALTH STEWARDS

TRUE WEALTH STEWARDS | TRUE WEALTH STEWARDS LLC

CRD#: 305312 / SEC#:

Indiana

Registered Investment Advisory firm - (9/30/2019 Approved)

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Contact information

Main Address

160 W Carmel Dr Ste 253, Carmel, IN 46032

Mailing Address

Phone number

(317) 567-9008

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	172
AUM (Assets Under Management)	$ 41,537,930

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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Douglas M. Rotman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Matthew Rotman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CADE GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

KESTRA INVESTMENT SERVICES, LLC

NATIONAL PLANNING CORPORATION

NORTHWEST FINANCIAL SERVICES INC

WALNUT STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2022

Series 63

Date: 11/29/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2000

Series 24

Date: 11/1/2016

Current Firm

TRUE WEALTH STEWARDS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TRUE WEALTH STEWARDS

TRUST BUT VERIFY

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