Ann M. Davis

CAPITAL MANAGEMENT CONSULTANTS

Northbrook, IL 60062

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CRD#: 5994079

Professional summary

Ann Marie Davis is a registered financial advisor currently at CAPITAL MANAGEMENT CONSULTANTS, INC. located in Northbrook, Illinois.

Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ann has worked at 1 firm and has passed the Series 65 exam.

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.

ANN MARIE IS THE OWNER RALLY TRENDZ, WHICH WAS INCORPORATED ON 9/10/2011. THE NATURE OF THE BUSINESS IS A WHOLESALE AND RETAIL ACCESSORY SALES. ANN MARIE DEVOTES ABOUT 80 HOURS A MONTH TO RALLY TRENDZ AND ABOUT 10 HOURS A MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Marie Davis'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®

None

Experience

Current

November 10, 2011 - Present

CAPITAL MANAGEMENT CONSULTANTS, INC.

Office #1: 5 Revere Drive Suite 200, Northbrook, IL 60062

RIA

CRD#: 19935

Northbrook, IL

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

Illinois
(11/10/2011)

IAR

Indiana
(3/21/2024)

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: 7/19/2011

Uniform Investment Adviser Law Examination

Current Firm

CAPITAL MANAGEMENT CONSULTANTS, INC.

CAPITAL MANAGEMENT CONSULTANTS | CAPITAL MANAGEMENT CONSULTANTS, INC.

CRD#: 19935 / SEC#: 801-31247, 8-37924

RIA

Registered Investment Advisory firm - SEC (8/30/2023 Terminated)

Illinois

Registered Investment Advisory firm - SEC (6/23/2023 Approved)

Indiana

Registered Investment Advisory firm - SEC (3/21/2024 Approved)

Terminated by SEC on 02/13/2010

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).

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Contact information

Main Address

5 Revere Drive Suite 200, Northbrook, IL 60062

Mailing Address

Phone number

(847) 376-2747

Established

Illinois since 03/20/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ANDRICH, JOHN MIKICIC	SECRETARY	1335646
DAVIS, MARC MICHAEL	PRESIDENT/CHIEF COMPLIANCE OFFICER	2412125
STUMPF, ROBERT NICHOLAS	TREASURER	1335710

Regulatory assets under management

Total Number of Accounts	126
AUM (Assets Under Management)	$ 64,662,518

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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Ann M. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Marie Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL MANAGEMENT CONSULTANTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2011

Current Firm

CAPITAL MANAGEMENT CONSULTANTS, INC.

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT CONSULTANTS, INC.

TRUST BUT VERIFY

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