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Detailed Report
CRAIG ALAN ROTTMAN
CRD#: 4647293
IA
Investment Adviser
B
Broker
SECURE ASSET MANAGEMENT, L.L.C.CRD#: 144046 Lakewood, CO
AURORA SECURITIESCRD#: 46147 1220 28th Ave N
Fargo, ND 58102
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2024 - Present (1 year)IAFINANCIAL STRATEGIES GROUP (CRD# 122030)2006 - Present (18 years)BCLASSIC, LLC (CRD# 159357)2012 - 2024 (11 years)BNORTHSTAR FINANCIAL PARTNERS, INC. (CRD# 107708)2010 - 2012 (2 years)BFINTEGRA, LLC (CRD# 16741)2007 - 2009 (2 years)BQUESTAR CAPITAL CORPORATION (CRD# 43100)2003 - 2007 (4 years)IAQUESTAR ASSET MANAGEMENT, INC. (CRD# 133358)2005 - 2007 (2 years)IAQUESTAR CAPITAL CORPORATION (CRD# 43100)2003 - 2005 (2 years)
Disclosure(s)
View By:
2/12/2024
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/29/2024
B
Nevada 8/7/2024
B
California 8/7/2024
B
North Carolina 5/15/2024
IA
Colorado 6/1/2023
IA
North Dakota 7/5/2006
B
Colorado 3/28/2024
B
North Dakota 6/25/2024
B
Kansas 8/6/2024
B
Tennessee 8/7/2024
B
Michigan 4/26/2024
IA
Texas 1/20/2011
B
Minnesota 6/28/2024
B
Wisconsin 5/13/2024
B
Montana 8/13/2024
B
Wyoming 8/7/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
AURORA SECURITIES (CRD#:46147)
1220 28th Ave N, Fargo, ND 58102
Lakewood, CO
Registered with this firm since 3/5/2024
IA
SECURE ASSET MANAGEMENT, L.L.C. (CRD#:144046)
Lakewood, CO
Registered with this firm since 3/5/2024
IA
FINANCIAL STRATEGIES GROUP (CRD#:122030)
LAKEWOOD, CO
Registered with this firm since 7/5/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/27/2012 - 04/23/2024 CLASSIC, LLC (CRD#:159357) FARGO, ND
B
 01/04/2010 - 12/31/2012 NORTHSTAR FINANCIAL PARTNERS, INC. (CRD#:107708) FARGO, ND
B
 10/22/2007 - 12/31/2009 FINTEGRA, LLC (CRD#:16741) FARGO, ND
IA
 01/12/2005 - 10/19/2007 QUESTAR ASSET MANAGEMENT, INC. (CRD#:133358) FARGO, ND
B
 06/11/2003 - 10/19/2007 QUESTAR CAPITAL CORPORATION (CRD#:43100) FARGO, ND
IA
 06/18/2003 - 12/31/2005 QUESTAR CAPITAL CORPORATION (CRD#:43100) FARGO, ND
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.