FINANCIAL MANAGEMENT STRATEGIES, INC. of BROADVIEW HTS., OH is an SEC-registered investment adviser (CRD 120818). Regulatory assets under management: $714.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Jennifer Lynn Soltis | CHIEF COMPLIANCE OFFICER | — |
| Jeffrey Charles Knox | PRESIDENT | — |
| Charles Brian Elliott | VICE PRESIDENT - PORTFOLIO MANAGEMENT & FINANCIAL PLANNING | — |
| Carl Joseph Camillo | INVESTMENT ADVISER REPRESENTATIVE | — |
| Geoffrey Francis Novack | INVESTMENT ADVISER REPRESENTATIVE | — |
| Victoria Louise Ellinger | INVESTMENT ADVISER REPRESENTATIVE | — |
| Austin John Linden | INVESTMENT ADVISER REPRESENTATIVE | — |
| Daniel Joseph Lane | INVESTMENT ADVISOR REPRESENTITIVE | — |
| COLLINS MAURA KATHRYN | CHIEF COMPLIANCE OFFICER | — |
| LANE JOSEPH | INVESTMENT ADVISOR REPRESENTITIVE | — |
| KNOX JEFFREY CHARLES | PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| ELLIOTT MARVIN BRIAN | VICE PRESIDENT - PORTFOLIO MANAGEMENT & FINANCIAL PLANNING | — |
| BOLDEN KIM MARIE | CHIEF COMPLIANCE OFFICER | — |
| SOLTIS JENNIFER L | CHIEF COMPLIANCE OFFICER | — |
| SOLTIS JENNIFER LYNN | CHIEF COMPLIANCE OFFICER | — |
| LINDEN STEVEN JOHN | INVESTMENT ADVISER REPRESENTATIVE | — |
| CAMILLO CARL JOSEPH | INVESTMENT ADVISER REPRESENTATIVE | — |
| NOVACK GEOFFREY FRANCIS | INVESTMENT ADVISER REPRESENTATIVE | — |
| ELLINGER VICTORIA LOUISE | INVESTMENT ADVISER REPRESENTATIVE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-06-07 | regulatory | INADEQUATE DISCLOSURE OF CONFLICT OF INTEREST RELATED TO THE RECEIPT OF 12B-1 FEES AND/OR SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES | Final | — |