Ronald S. Rollins

Some features on this profile are disabled

CRD#: 1585710

Professional summary

Ronald Sidney Rollins was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ronald is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Ronald had worked at 4 firms, which includes COMPREHENSIVE CAPITAL MANAGEMENT INC., APW CAPITAL INC., HORNBLOWER & WEEKS INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

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

January 5, 2011 - August 17, 2012

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 119890

PARSIPPANY, NJ

Past

August 22, 2003 - August 4, 2004

APW CAPITAL, INC.

RIA

CRD#: 43814

PARSIPPANY, NJ

Past

September 10, 2002 - August 17, 2012

APW CAPITAL, INC.

CRD#: 43814

PARSIPPANY, NJ

Past

October 10, 2000 - October 22, 2001

HORNBLOWER & WEEKS, INC.

CRD#: 4683

NEW YORK, NY

Past

December 26, 1986 - December 5, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

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".

COMPREHENSIVE CAPITAL MANAGEMENT, 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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/21/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/23/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/18/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2000

General Securities Principal Examination

Current Firm

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

CRD#: 119890 / SEC#: 801-61068

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (19 States and Territories)

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 Accounts	2,105
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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ronald S. Rollins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APW CAPITAL, INC.

APW CAPITAL, INC.

HORNBLOWER & WEEKS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/2003

Series 63

Date: 11/15/2000

Series 7

Date: 12/20/1986

Series 53

Date: 12/23/2002

Series 4

Date: 4/18/2001

Series 24

Date: 12/1/2000

Current Firm

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors