Craig Alan Rottman | Financial Professional | Lakewood, Colorado | FINANCIAL STRATEGIES GROUP

Professional summary

Craig Alan Rottman is a registered financial advisor currently at FINANCIAL STRATEGIES GROUP located in Lakewood, Colorado and SECURE ASSET MANAGEMENT, L.L.C. located in Lakewood, Colorado.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Craig has worked at 8 firms and has passed the Series 66, 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.

1) Investment advisory business through Classic Asset Management, LLC. 2) Ministerial Formation Certification Agency, 8303 Alondra Blvd, Suite C, Paramount CA 90723. Serves as a member of the RCSC Certification Committee that supervises and interviews seminary candidates and students who seek ordination in the RCA and choose to attend seminaries not affiliated with the denomination. Started January 2018; Approx. 4 hours per month with none during trading hours. 3) Classic Holdings, LLC; Non-investment related; 1220 28th Ave N, Fargo, ND 58102; Holding Company; Managing Member; Started 09/2011; Less than 1 hour per month all during trading hours; Member of the Board of Directors of the Holding Company; 4) Secure Asset Management; Investment-related; 1220 28th Ave N, Fargo, ND 58102; Investment Advisor Representative.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Alan Rottman'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®

None

Experience

Current

July 5, 2006 - Present

FINANCIAL STRATEGIES GROUP

RIA

CRD#: 122030

LAKEWOOD, CO

Current

March 5, 2024 - Present

SECURE ASSET MANAGEMENT, L.L.C.

RIA

CRD#: 144046

Lakewood, CO

Current

March 5, 2024 - Present

AURORA SECURITIES

Office #1: 1220 28th Ave N, Fargo, ND 58102

BD

CRD#: 46147

Fargo, ND

Past

November 27, 2012 - April 23, 2024

CLASSIC, LLC

BD

CRD#: 159357

FARGO, ND

Past

January 4, 2010 - December 31, 2012

NORTHSTAR FINANCIAL PARTNERS, INC.

BD

CRD#: 107708

FARGO, ND

Past

October 22, 2007 - December 31, 2009

FINTEGRA, LLC

BD

CRD#: 16741

FARGO, ND

Past

January 12, 2005 - October 19, 2007

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

FARGO, ND

Past

June 18, 2003 - December 31, 2005

QUESTAR CAPITAL CORPORATION

RIA

CRD#: 43100

FARGO, ND

Past

June 11, 2003 - October 19, 2007

QUESTAR CAPITAL CORPORATION

BD

CRD#: 43100

FARGO, ND

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".

SA

SECURE ASSET MANAGEMENT, L.L.C.

CRD#: 144046 / SEC#: 801-113954

RIA

Registered Investment Advisory firm - (9/7/2018 Approved)

Arizona

Registered Investment Advisory firm - (9/17/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/17/2018 Terminated)

Florida

Registered Investment Advisory firm - (9/17/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/7/2018 Terminated)

Indiana

Registered Investment Advisory firm - (9/19/2018 Terminated)

Michigan

Registered Investment Advisory firm - (9/18/2018 Terminated)

New York

Registered Investment Advisory firm - (9/17/2018 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/17/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Arizona
(3/29/2024)

RR

California
(8/7/2024)

IAR

Colorado
(6/1/2023)

RR

Colorado
(3/28/2024)

RR

Kansas
(8/6/2024)

RR

Michigan
(4/26/2024)

RR

Minnesota
(6/28/2024)

RR

Montana
(8/13/2024)

RR

Nevada
(8/7/2024)

RR

North Carolina
(5/15/2024)

IAR

North Dakota
(7/5/2006)

RR

North Dakota
(6/25/2024)

IAR

Texas
(1/20/2011)

RR

Wisconsin
(5/13/2024)

RR

Wyoming
(8/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 4/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/9/2003

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/17/2012

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

SA

SECURE ASSET MANAGEMENT, L.L.C.

CRD#: 144046 / SEC#: 801-113954

RIA

Registered Investment Advisory firm - (9/7/2018 Approved)

Arizona

Registered Investment Advisory firm - (9/17/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/17/2018 Terminated)

Florida

Registered Investment Advisory firm - (9/17/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/7/2018 Terminated)

Indiana

Registered Investment Advisory firm - (9/19/2018 Terminated)

Michigan

Registered Investment Advisory firm - (9/18/2018 Terminated)

New York

Registered Investment Advisory firm - (9/17/2018 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/17/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2565 West Maple Rd, Troy, MI 48084

Mailing Address

Phone number

(248) 414-1562

Established

Firm type

Fiscal year end

# of Employees

53

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (6/26/2025)

Regulatory assets under management

Total Number of Accounts	4,714
AUM (Assets Under Management)	$ 890,034,531

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Craig A. Rottman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Alan Rottman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURE ASSET MANAGEMENT, L.L.C.

AURORA SECURITIES

CLASSIC, LLC

NORTHSTAR FINANCIAL PARTNERS, INC.

FINTEGRA, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

QUESTAR CAPITAL CORPORATION

Primary Firm SEC Registration

SECURE ASSET MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/22/2003

SIE

Date: 10/1/2018

Series 7

Date: 6/9/2003

Series 24

Date: 10/17/2012

FINRA

Current Firm

SECURE ASSET MANAGEMENT, L.L.C.

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECURE ASSET MANAGEMENT, L.L.C.

TRUST BUT VERIFY

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