William R. Neubauer

COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC

CORAL GABLES, FL

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CRD#: 2873585

Professional summary

William Robert Neubauer, CFP® is a registered financial advisor currently at COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC located in Coral Gables, Florida.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. William has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view William Robert Neubauer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

August 14, 2002 - Present

COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC

RIA

CRD#: 121061

CORAL GABLES, FL

Past

April 1, 1998 - October 22, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

June 11, 1997 - April 1, 1998

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

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 MONEY MANAGEMENT SERVICES LLC

CRD#: 121061 / SEC#: 801-133720

RIA

Registered Investment Advisory firm - (6/20/2025 Approved)

Florida

Registered Investment Advisory firm - (7/3/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2025 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/14/2002)

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: 8/9/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/9/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/12/1997

General Securities Principal Examination

Current Firm

COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC

CRD#: 121061 / SEC#: 801-133720

RIA

Registered Investment Advisory firm - (6/20/2025 Approved)

Florida

Registered Investment Advisory firm - (7/3/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2025 Conditional Restricted)

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Contact information

Main Address

Coral Gables, FL

Mailing Address

Phone number

(786) 261-6100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JULY, 2025 (7/28/2025)

FEBRUARY, 2025 (3/3/2025)

Regulatory assets under management

Total Number of Accounts	544
AUM (Assets Under Management)	$ 162,586,000

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.

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Firm Stability Insights

William R. Neubauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Robert Neubauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANC OF AMERICA INVESTMENT SERVICES, INC.

BARNETT INVESTMENTS, INC.

Primary Firm SEC Registration

COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2002

Series 63

Date: 6/19/1997

Series 7

Date: 6/9/1997

Series 24

Date: 6/12/1997

Current Firm

COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC

TRUST BUT VERIFY

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