Rocky Istvan has been Chief Compliance Officer of Daniel Krug & Associates since September 2018, is a control person of the firm and directly owns under 5% of it.
Daniel Krug & Associates, Inc. is a Clarkston, MI firm with $145M under management, 192 clients and 2 advisers in one office, as of its March 2026 filing.
Rocky Istvan’s longest registration is the current one, 7 years at Daniel Krug & Associates since 2019. Before joining Daniel Krug & Associates in 2019, Rocky Istvan was registered through Global Financial Private Capital, Inc. and SPC.
- Daniel Krug & AssociatesCurrent– present · 7 yearsClarkston, MI · Adviser representative · Firm CRD 298532
- Global Financial Private Capital, Inc.– · 6 yearsClarkston, MI · Adviser representative · Firm CRD 132070
- SPC– · 2 yearsClarkston, MI · Adviser representative · Firm CRD 110692
Investment adviser representative registrations
Rocky Istvan is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from January 2019; the most recent is Florida, in July 2019.
- FloridaSince 3 July 2019
- MichiganSince 9 January 2019
- TexasResidentSince 15 January 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 8 March 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 February 2008 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 February 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Rocky Harold John Istvan
- CRD
- 5479035
- Firm
- Daniel Krug & Associates · CRD 298532
- Role
- Chief Compliance Officer
- Office
- 8040 ORTONVILLE RD, SUITE D, Clarkston, MI 48348
- Registration
- Investment adviser registration
- In the industry since
- February 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Rocky Istvan work?
Rocky Istvan has been Chief Compliance Officer of Daniel Krug & Associates, Inc. since September 2018, and is a control person of the firm.
Is Rocky Istvan a financial advisor?
Yes. Rocky Istvan has a current investment-adviser registration in Florida, Michigan and Texas, through Daniel Krug & Associates since January 2019.
How many years of experience does Rocky Istvan have?
Rocky Istvan has 18 years in the financial industry, since February 2008, across 3 adviser firms.
What exams has Rocky Istvan passed?
Rocky Istvan has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in February 2008. FINRA credited Rocky Istvan with the SIE, which began in October 2018.
Where did Rocky Istvan work before Daniel Krug & Associates?
Before Daniel Krug & Associates, Rocky Istvan was registered through SPC, May 2010 to March 2013.
Where is Rocky Istvan based?
Rocky Istvan’s registered office is in Clarkston, MI.
Is Rocky Istvan registered with FINRA?
No. Rocky Istvan has no current broker registration.
How can I verify Rocky Istvan’s record?
Search CRD 5479035 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Rocky Istvan’s full registration record.
