CAPITAL INVESTMENT MANAGEMENT, LLC of ROSEVILLE, CA is an SEC-registered investment adviser (CRD 150705). Regulatory assets under management: $100.1M.
Compensation: % of AUM, Commissions.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| HALVERSTADT KURT JAMES | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER; PRESIDENT | — |
| LEHMANN SEAN ANTHONY | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| GORCZYCA PAMELA KAY | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Kurt James Halverstadt | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | — |
| Sean Anthony Lehmann | MANAGING MEMBER AND COMPLIANCE OFFICER (LAGUNA NIGUEL) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-08-30 | civil | BREACH OF EMPLOYMENT CONTRACT BETWEEN EMPLOYER AND EMPLOYEE | Final | — |
| 2011-08-30 | civil | BREACH OF EMPLOYMENT AGREEMENT | Final | — |
| City | State | Employees | Phone |
|---|---|---|---|
| LAGUNA NIGUEL | CA | 1 | 949-388-1888 |
| LAGUNA NIGUEL | CA | 1 | 949-388-1888 |