Craig D. Winter

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CRD#: 5471004

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Craig Daniel Winter was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 2008. Craig had worked at 6 firms and has passed the Series 66, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 14, 2012 - March 26, 2013

THE RETIREMENT SOLUTION LLC

RIA

CRD#: 148106

REDMOND, WA

Past

December 6, 2011 - December 12, 2012

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

BELLEVUE, WA

Past

October 11, 2010 - February 11, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

Past

October 4, 2010 - February 11, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

October 3, 2008 - September 10, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

October 3, 2008 - September 10, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

March 5, 2008 - July 29, 2008

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

PHOENIX, AZ

Past

March 5, 2008 - July 29, 2008

CRI SECURITIES, LLC

CRD#: 22589

PHOENIX, AZ

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".

THE RETIREMENT SOLUTION LLC

ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.

CRD#: 148106 / SEC#: 801-113783

RIA

Registered Investment Advisory firm - (8/1/2018 Approved)

Arizona

Registered Investment Advisory firm - (9/10/2018 Terminated)

California

Registered Investment Advisory firm - (10/10/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/11/2018 Terminated)

Idaho

Registered Investment Advisory firm - (9/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2018 Terminated)

Utah

Registered Investment Advisory firm - (9/10/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/10/2018 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/6/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/4/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/10/2009

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/10/2009

General Securities Sales Supervisor - General Module Examination

Current Firm

THE RETIREMENT SOLUTION LLC

ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.

CRD#: 148106 / SEC#: 801-113783

RIA

Registered Investment Advisory firm - (8/1/2018 Approved)

Arizona

Registered Investment Advisory firm - (9/10/2018 Terminated)

California

Registered Investment Advisory firm - (10/10/2018 Terminated)

Colorado

Registered Investment Advisory firm - (9/11/2018 Terminated)

Idaho

Registered Investment Advisory firm - (9/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2018 Terminated)

Utah

Registered Investment Advisory firm - (9/10/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/10/2018 Terminated)

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Contact information

Main Address

18300 Redmond Way Suite 250, Redmond, WA 98052

Mailing Address

Phone number

(425) 558-3700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE RETIREMENT SOLUTION - FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,888
AUM (Assets Under Management)	$ 573,254,942

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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Advisor Monitoring

Firm Stability Insights

Craig D. Winter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERCER GLOBAL ADVISORS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

Primary Firm SEC Registration

THE RETIREMENT SOLUTION LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/6/2008

Series 7

Date: 3/4/2008

Series 9

Date: 10/10/2009

Series 10

Date: 9/10/2009

Current Firm

THE RETIREMENT SOLUTION LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE RETIREMENT SOLUTION LLC

TRUST BUT VERIFY

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