Rocky H. Istvan

DANIEL KRUG & ASSOCIATES

CLARKSTON, MI 48348

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CRD#: 5479035

Professional summary

Rocky Harold John Istvan is a registered financial advisor currently at DANIEL KRUG & ASSOCIATES located in Clarkston, Michigan.

Rocky is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Rocky has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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 Rocky Harold John Istvan'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

January 9, 2019 - Present

DANIEL KRUG & ASSOCIATES

Office #1: 8040 Ortonville Rd Suite D, Clarkston, MI 48348

RIA

CRD#: 298532

CLARKSTON, MI

Past

April 3, 2013 - December 31, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

CLARKSTON, MI

Past

March 1, 2013 - March 1, 2019

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

CLARKSTON, MI

Past

May 18, 2010 - March 1, 2013

SPC

RIA

CRD#: 110692

CLARKSTON, MI

Past

November 12, 2008 - March 1, 2013

SIGMA FINANCIAL CORPORATION

CRD#: 14303

CLARKSTON, MI

Past

April 21, 2008 - November 17, 2008

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

CLARKSTON, MI

Past

February 4, 2008 - April 10, 2008

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

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".

DANIEL KRUG & ASSOCIATES

DANIEL KRUG & ASSOCIATES | DANIEL KRUG & ASSOCIATES, INC.

CRD#: 298532 / SEC#: 801-130573

RIA

Registered Investment Advisory firm - (6/27/2024 Approved)

Florida

Registered Investment Advisory firm - (7/10/2024 Terminated)

Michigan

Registered Investment Advisory firm - (7/18/2024 Terminated)

Texas

Registered Investment Advisory firm - (7/10/2024 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

Florida
(7/3/2019)

IAR

Michigan
(1/9/2019)

IAR

Texas
(1/15/2019)

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: 3/8/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/1/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DANIEL KRUG & ASSOCIATES

DANIEL KRUG & ASSOCIATES | DANIEL KRUG & ASSOCIATES, INC.

CRD#: 298532 / SEC#: 801-130573

RIA

Registered Investment Advisory firm - (6/27/2024 Approved)

Florida

Registered Investment Advisory firm - (7/10/2024 Terminated)

Michigan

Registered Investment Advisory firm - (7/18/2024 Terminated)

Texas

Registered Investment Advisory firm - (7/10/2024 Terminated)

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Contact information

Main Address

8040 Ortonville Rd Suite D, Clarkston, MI 48348

Mailing Address

Phone number

(248) 625-2788

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,004
AUM (Assets Under Management)	$ 130,938,459

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

Rocky H. Istvan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocky Harold John Istvan's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

SPC

SIGMA FINANCIAL CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

SIGMA FINANCIAL CORPORATION

Primary Firm SEC Registration

DANIEL KRUG & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2010

Series 63

Date: 2/5/2008

SIE

Date: 10/1/2018

Series 6

Date: 2/1/2008

Current Firm

DANIEL KRUG & ASSOCIATES

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DANIEL KRUG & ASSOCIATES

TRUST BUT VERIFY

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