COMPREHENSIVE WEALTH MANAGEMENT, LLC of LYNNWOOD, WA is an SEC-registered investment adviser (CRD 116958). Regulatory assets under management: $338.4M.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Brian Joseph Lockett | PRESIDENT; VICE PRESIDENT | — |
| Shilo Michelle Lockett | PRESIDENT; VICE PRESIDENT | — |
| Morgan Lewis Arford | CHIEF INVESTMENT OFFICER; PRESIDENT | — |
| Christina A Ybarra | CHIEF COMPLIANCE OFFICER | — |
| STEFANO VINCENT JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| ARFORD GARY MARLIN | MEMBER; PRESIDENT; TRUSTEE | — |
| LOCKETT BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER; FINANCIAL ADVISOR; MANAGER (+2 more) | — |
| LOCKETT SHILO MICHELLE | CHIEF OPERATING OFFICER; PRESIDENT; PRESIDENT / CHIEF OPERATING OFFICER (+1 more) | — |
| ARFORD MORGAN LEWIS | CHIEF INVESTMENT OFFICER; INVESTMENT STRATEGIST; MANAGER (+1 more) | — |
| ARFORD CHERYL | TRUSTEE | — |
| ARFORD SHILO MICHELLE | DIRECTOR OF MARKETING | — |
| LOCKETT BRIAN J | FINANCIAL ADVISOR | — |
| YBARRA CHRISTINA A | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-11-10 | regulatory | PURSUANT TO THE SECURITIES ACT OF WASHINGTON, RCW 21.20, THE SECURITIES DIVISION OF THE DEPARTMENT OF FINANCIAL INSTITUTIONS (SECURITIES DIVISION) AND RESPONDENT BRIAN J, LOCKETT DO HEREBY ENTER INTO THIS CONSENT ORDER IN SETTLEMENT OF THE MATTERS ALLEGED HEREIN. | Final | $5K |
| 2020-05-08 | regulatory | FAILURE TO NOTIFY THE CA DEPARTMENT OF INSURANCE REGARDING A FINRA DISCIPLINARY ACTION IN A TIMELY MANNER. | Final | $850 |
| 2019-11-12 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, LOCKETT CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE PARTICIPATED IN A PRIVATE SECURITIES TRANSACTION WITHOUT PROVIDING PRIOR WRITTEN NOTICE TO HIS MEMBER FIRM. THE FINDINGS STATED THAT ONE OF LOCKETT'S CUSTOMERS INVESTED A TOTAL OF $50,0… | Final | $5K |