Craig A. Rottman

FINANCIAL STRATEGIES GROUP

LAKEWOOD, CO

Some features on this profile are disabled

CRD#: 4647293

Professional summary

Craig Alan Rottman is a registered financial advisor currently at FINANCIAL STRATEGIES GROUP located in Lakewood, Colorado.

Craig is registered as an IAR (Investment Advisor 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.

The advisor shows no other business activity.

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

Past

March 5, 2024 - February 3, 2026

SECURE ASSET MANAGEMENT, L.L.C.

RIA

CRD#: 144046

Lakewood, CO

Past

March 5, 2024 - December 31, 2025

AURORA SECURITIES

CRD#: 46147

Fargo, ND

Past

November 27, 2012 - April 23, 2024

CLASSIC, LLC

CRD#: 159357

FARGO, ND

Past

January 4, 2010 - December 31, 2012

NORTHSTAR FINANCIAL PARTNERS, INC.

CRD#: 107708

FARGO, ND

Past

October 22, 2007 - December 31, 2009

FINTEGRA, LLC

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

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".

FINANCIAL STRATEGIES GROUP

CLASSIC ASSET MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP, INC. | FINANCIAL STRATEGIES GROUP

CRD#: 122030 / SEC#: 801-67302

RIA

Registered Investment Advisory firm - (12/1/2006 Approved)

North Dakota

Registered Investment Advisory firm - (12/6/2006 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(6/1/2023)

IAR

North Dakota
(7/5/2006)

IAR

Texas
(1/20/2011)

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 66

Date: 4/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/17/2012

General Securities Principal Examination

Current Firm

FINANCIAL STRATEGIES GROUP

CLASSIC ASSET MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP, INC. | FINANCIAL STRATEGIES GROUP

CRD#: 122030 / SEC#: 801-67302

RIA

Registered Investment Advisory firm - (12/1/2006 Approved)

North Dakota

Registered Investment Advisory firm - (12/6/2006 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1220 28th Avenue North, Fargo, ND 58102

Mailing Address

Phone number

(701) 234-0103

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLASSIC ASSET MANAGEMENT, LLC ADV BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts	1,346
AUM (Assets Under Management)	$ 189,148,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

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

FINANCIAL STRATEGIES GROUP

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

Current Firm

FINANCIAL STRATEGIES GROUP

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL STRATEGIES GROUP

TRUST BUT VERIFY

Similar Advisors