Craig D. Wiggins

Some features on this profile are disabled

CRD#: 862007

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 Douglas Wiggins was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1979. Craig had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 8 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

January 10, 2017 - July 28, 2020

FINANCIAL MANAGEMENT STRATEGIES, INC.

RIA

CRD#: 120818

Akron, OH

Past

January 9, 2017 - April 6, 2020

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

AKRON, OH

Past

January 9, 2017 - April 6, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

AKRON, OH

Past

May 8, 2012 - January 12, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

AKRON, OH

Past

May 8, 2012 - January 12, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

AKRON, OH

Past

June 13, 2005 - May 16, 2012

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

AKRON, OH

Past

May 25, 2005 - July 27, 2012

CENTRUST WEALTH MANAGEMENT, INC.

RIA

CRD#: 120844

AKRON, OH

Past

January 24, 2003 - April 19, 2005

CENTRUST WEALTH MANAGEMENT, INC.

RIA

CRD#: 120844

AKRON, OH

Past

March 6, 2002 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 2, 1988 - March 28, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 16, 1979 - January 1, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

February 1, 1979 - July 14, 1979

VERCOE & COMPANY, INC.

CRD#: 855

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 MANAGEMENT STRATEGIES, INC.

CRD#: 120818 / SEC#: 801-66641

RIA

Registered Investment Advisory firm - (5/17/2006 Approved)

Ohio

Registered Investment Advisory firm - (11/7/2006 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.

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

Series 63

Date: 5/1/1985

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: 1/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/24/1989

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FINANCIAL MANAGEMENT STRATEGIES, INC.

CRD#: 120818 / SEC#: 801-66641

RIA

Registered Investment Advisory firm - (5/17/2006 Approved)

Ohio

Registered Investment Advisory firm - (11/7/2006 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

9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147

Mailing Address

Phone number

(216) 642-1099

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 03252025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,776
AUM (Assets Under Management)	$ 619,530,659

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 D. Wiggins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

CENTRUST WEALTH MANAGEMENT, INC.

CENTRUST WEALTH MANAGEMENT, INC.

ROUND HILL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VERCOE & COMPANY, INC.

Primary Firm SEC Registration

FINANCIAL MANAGEMENT STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/1/1985

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1979

Series 8

Date: 4/24/1989

Current Firm

FINANCIAL MANAGEMENT STRATEGIES, INC.

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL MANAGEMENT STRATEGIES, INC.

TRUST BUT VERIFY

Similar Advisors