COMPREHENSIVE CAPITAL MANAGEMENT, INC. of TOTOWA, NJ is an SEC-registered investment adviser (CRD 119890). Regulatory assets under management: $77.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Timothy Liam Smith | PRESIDENT | — |
| Christina Lauren Jennings | SHAREHOLDER | — |
| Sean Michael Jennings | SHAREHOLDER | — |
| Tonya Marie Coutant | CHIEF COMPLIANCE OFFICER | — |
| SMITH TIMOTHY LIAM | PRESIDENT | — |
| JENNINGS CHRISTINA | SHAREHOLDER; SHAREOLDER | — |
| ROLLINS RONALD SIDNEY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, COMPLIANCE; VICE PRESIDENT, DIRECTOR OF COMPLIANCE | — |
| WILLIAMS DEBORAH ANN | COMPLIANCE DIRECTOR | — |
| FORMAN CARL | CHIEF COMPLIANCE OFFICER | — |
| JENNINGS JOHN MICHAEL | SHAREHOLDER | — |
| AUFRICHTIG GLENN | CHIEF COMPLIANCE OFFICER | — |
| NUSSBAUM ANDREW CHARLES | CHIEF COMPLIANCE OFFICER | — |
| JENNINGS CHRISTINA LAUREN | SHAREHOLDER | — |
| COUTANT TONYA MARIE | CHIEF COMPLIANCE OFFICER | — |
| Coutant Tonya | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-01-11 | regulatory | ACCORDING TO THE SEC, FROM 2017 THROUGH MARCH 2021, CCM DID NOT ADEQUATELY DISCLOSE FEE-RELATED INFORMATION AND CONFLICTS OF INTEREST CONCERNING COMMISSIONS PAID TO OUR AFFILIATED BROKER-DEALER AND ITS FINANCIAL ADVISORS. FURTHER, CCM'S ADVISORY AGREEMENTS INCLUDED LIABILITY DISCLAIMER LANGUAGE, COM… | Final | $300K |
| 2019-09-30 | regulatory | SEC ADMIN RELEASE IA 40-5380 / SEPTEMBER 30, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST COMPREHENSIVE CAPITAL MANAGEMENT, INC. ("RESPONDENT"). ON THE BASIS OF THIS ORDE… | Final | — |
| 2013-07-29 | regulatory | FAILURE TO SUPERVISE FORMER AFFILIATE WHO PLED GUILTY TO THEFT OF CLIENT FUNDS AND MONITOR HIS TRANSACTIONS / FAILURE TO REPORT CUSTODY AND UNDERGO ANNUAL EXAMINATIONS OF CUSTODIAL ACCOUNTS CONTROLLED BY FORMER AFFILIATE | Final | $120K |
| 2012-09-01 | regulatory | FAILURE TO REGISTER AT LEAST ONE INVESTMENT ADVISER REPRESENTATIVE IN THE COMMONWEALTH OF PENNSYLVANIA BEFORE TRANSACTING BUSINESS THERE BETWEEN APRIL 2010 AND SEPTEMBER 2012. | Final | $10K |
| 2005-08-08 | regulatory | FROM APPROXIMATELY 2002 TO 8/2005, CCM TRANSACTED BUSINESS AS AN INVESTMENT ADVISER IN CT AT A TIME WHEN NO NOTICE FILING WAS MADE OR FEE REMITTED PURSUANT TO SECTION 36B-6(E) OF THE ACT AND; CCM ENGAGED AN UNREGISTERED INVESTMENT ADVISER AGENT IN WOODBURY, CT FROM 8/2004 TO 8/2005 | Final | $3K |
| — | regulatory | — | — | — |