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FINANCIAL SECURITY MANAGEMENT, INC

LAKEWOOD, CO · CRD 116570 · IAPD ↗ · fsm-inc.com · 303-988-1411

$611.5MRegulatory AUM
7Advisory reps
7Employees
1Clients
1-10Planning clients
0Private funds
25States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
June 2026 — FINANCIAL SECURITY MANAGEMENT, INC notice-filed in MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2026 — FINANCIAL SECURITY MANAGEMENT, INC notice-filed in MA, MN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2026 — FINANCIAL SECURITY MANAGEMENT, INC grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
December 2025 — FINANCIAL SECURITY MANAGEMENT, INC notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
July 2025 — FINANCIAL SECURITY MANAGEMENT, INC notice-filed in MT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
April 2025 — FINANCIAL SECURITY MANAGEMENT, INC notice-filed in GA, NV, OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2025 — FINANCIAL SECURITY MANAGEMENT, INC crossed $500M in regulatory AUM ($439.4M -> $556.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
October 2024 — FINANCIAL SECURITY MANAGEMENT, INC notice-filed in KS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — FINANCIAL SECURITY MANAGEMENT, INC notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.