CONSOLIDATED FINANCIAL MANAGEMENT GROUP, LLC of DUBLIN, OH is an SEC-registered investment adviser (CRD 119695). Regulatory assets under management: $588.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| JAMES MARK CURRY | MEMBER | DUBLIN, OH |
| Edward Steele Bell | MEMBER & CHIEF COMPLIANCE OFFICER | — |
| Andrew Todd Roseberry | MEMBER | — |
| Gerald Eugene Roach | SHAREHOLDER & VICE-PRESIDENT | — |
| Robert Andrew Bell | MEMBER | — |
| Lori A Waugh | TREASURER | — |
| BELL RICHARD ANDREW | MEMBER; SHAREHOLDER & SENIOR COMMERCIAL ACCOUNT EXECUTIVE | — |
| WISEMAN LAURENCE E | SHAREHOLDER & PRESIDENT | — |
| CURRY JAMES MARK | MEMBER | — |
| BELL EDWARD STEELE | MEMBER; MEMBER & CHIEF COMPLIANCE OFFICER | — |
| ROSEBERRY ANDREW TODD | CCO; MEMBER; MEMBER, CHIEF COMPLIANCE OFFICER | — |
| ROACH GERALD EUGENE | SHAREHOLDER & VICE-PRESIDENT | — |
| WAUGH LORI A | TREASURER | — |
| Lori A. Waugh | TREASURER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-11-29 | regulatory | ON APRIL 20, 2023, CFMG ENTERED INTO A VOLUNTARY, NEGOTIATED CONSENT AGREEMENT WITH A STATE REGULATOR (THE CONSENT AGREEMENT). THE CONSENT AGREEMENT RESOLVED ALLEGATIONS THAT TWO OF CFMG'S ADVISORY AFFILIATES FAILED TO DISCLOSE CERTAIN OUTSIDE BUSINESS ACTIVITIES. AS PART OF THE CONSENT AGREEMENT, C… | Final | — |
| — | regulatory | — | — | — |