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CF

Carl Forman

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CRD#: 1532034
CF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carl Forman was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 1995. Carl had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 1, 2012 - August 4, 2014

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA
CRD#: 119890
PARSIPPANY, NJ
Past

February 1, 2012 - August 4, 2014

APW CAPITAL, INC.

BD
CRD#: 43814
BASKING RIDGE, NJ
Past

June 12, 2008 - September 13, 2011

GLEN EAGLE WEALTH, LLC

RIA
CRD#: 124504
HAMILTON, NJ
Past

June 12, 2008 - September 13, 2011

GLEN EAGLE WEALTH, LLC

BD
CRD#: 124504
HAMILTON, NJ
Past

May 21, 2008 - June 23, 2008

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WOODBRIDGE, NJ
Past

April 28, 2008 - June 23, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WOODBRIDGE, NJ
Past

November 23, 2005 - December 12, 2007

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 27, 2001 - October 31, 2002

DG EUROPEAN SECURITIES CORPORATION

BD
CRD#: 15304
NEW YORK, NY
Past

August 19, 1999 - September 6, 2005

DZ FINANCIAL MARKETS LLC

BD
CRD#: 47098
NEW YORK, NY
Past

October 6, 1997 - March 12, 1999

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

November 16, 1995 - October 3, 1997

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
AMERIWEALTH MANAGEMENT | WEINGARTEN FINANCIAL GROUP | SENIOR RESOURCES | RETIREMENT TARGETS | OBERLANDER DORFMAN | JFL TOTAL WEALTH MANAGEMENT | INTERNATIONAL FINANCIAL ADVISORY GROUP | HARPER & HODGE | GIL WOOD & ASSOCIATES | EAST MAIN STREET ADVISORS | DMC WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL SERVICES | COMPREHENSIVE CAPITAL MANAGEMENT, INC. | COMPASS-ION ADVISORS LLC | BACK9 RETIREMENT SOLUTIONS | B&D FINANCIAL SERVICES, INC.

CRD#: 119890 / SEC#: 801-61068

RIA
Registered Investment Advisory firm - (4/19/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/20/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/15/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/8/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/23/1997
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/1996
General Securities Principal Examination

Current Firm

CC
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
AMERIWEALTH MANAGEMENT | WEINGARTEN FINANCIAL GROUP | SENIOR RESOURCES | RETIREMENT TARGETS | OBERLANDER DORFMAN | JFL TOTAL WEALTH MANAGEMENT | INTERNATIONAL FINANCIAL ADVISORY GROUP | HARPER & HODGE | GIL WOOD & ASSOCIATES | EAST MAIN STREET ADVISORS | DMC WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL SERVICES | COMPREHENSIVE CAPITAL MANAGEMENT, INC. | COMPASS-ION ADVISORS LLC | BACK9 RETIREMENT SOLUTIONS | B&D FINANCIAL SERVICES, INC.

CRD#: 119890 / SEC#: 801-61068

RIA
Registered Investment Advisory firm - (4/19/2002 Approved)
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Contact information

Main Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Mailing Address
Phone number
(973) 394-0404
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CCM ADV 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts2,105
AUM (Assets Under Management)$ 71,040,110

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

CRD#: 119890

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