CL WEALTH MANAGEMENT LLC of SCHAUMBURG, IL is an SEC-registered investment adviser (CRD 134922). Regulatory assets under management: $733.6M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Davis Thames Howard | CCO | Houston, TX |
| Bjorn Jordan | CCO | — |
| Roger Farrell Leibowitz | PRESIDENT | — |
| POLLINA CHRISTOPHER CHARLES | EXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | — |
| MARTIN HARVEY SEWARD | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | — |
| MATHER ROBERT PHILIP | CHAIRMAN; SENIOR VICE PRESIDENT; S V P | — |
| GOULD CRAIG MICHAEL | PRESIDENT | — |
| FRYDMAN JACOB ABRAHAM | MANAGER | — |
| JORDAN BJORN | CCO | — |
| AKERMAN ALBERT | CHIEF COMPLIANCE OFFICER | — |
| VERSCHLEISER ELI | MEMBER | — |
| LEIBOWITZ ROGER FARRELL | CHIEF FINANCIAL OFFICER; PRESIDENT | — |
| Markowits Alexander C | MEMBER | — |
| MARKOWITS ALEXANDER CHIAM | MANAGER; MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-06-25 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, GREEN CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE FAILED TO ENSURE THAT ALL NECESSARY INFORMATION HAD BEEN OBTAINED FROM A CUSTOMER IN CONNECTION WITH THE DEPOSIT AND SALE OF A POSSIBLE CONTROL OR RESTRICTED STOCK. THE FINDINGS STATED TH… | Final | $5K |
| — | regulatory | — | — | — |