0001179791-17-000002.txt : 20170201 0001179791-17-000002.hdr.sgml : 20170201 20170201083828 ACCESSION NUMBER: 0001179791-17-000002 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170131 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CIM INVESTMENT MANGEMENT INC CENTRAL INDEX KEY: 0001179791 IRS NUMBER: 251738846 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04582 FILM NUMBER: 17563197 BUSINESS ADDRESS: STREET 1: 239 FOURTH AVE SUITE 1302 CITY: PITTSBURGH STATE: PA ZIP: 15222 BUSINESS PHONE: 4127652771 MAIL ADDRESS: STREET 1: 239 FOURTH AVENUE STREET 2: SUITE 1302 CITY: PITTSBURGH STATE: PA ZIP: 15222 MA-I/A 1 primary_doc.xml MA-I/A 0001179791 XXXXXXXX Antoine L. Smalls 4127652771 asmalls@ciminvests.com N Y Antoine Lamont Smalls 004519800 Y 1 0001179791 CIM INVESTMENT MANGEMENT INC 06-01-2008 N 09-30-2014 0001179791 LOCATED SUPERVISED 06-30-2008 239 FOURTH AVE SUITE 1302 PITTSBURGH PA 15222 06-2008 CIM Investment Management, Inc. Pittsburgh PA 15222 Y Y CCO & SVP 12-1999 06-2008 MDL Capital Management, Inc. Pittsburgh PA 15222 N Y SVP N Y Y N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 01-31-2017 Antoine Smalls Chief Compliance Officer Pled Nolo Contendere N 6A(1)(a) 6B(1)(a) Y Allegheny County Court of Common Pleas CP-02-CR-0008916-1993 437 Grant Street Pittsburgh PA 15219 CP-02-CR-0008916-1993 04-29-1993 Criminal Conspiracy Engaging Criminal Conspiracy Engaging 1 Pled Nolo Contendere Y 07-27-1993 Charged with Simple Assault, Charge withdrawn 6A(1)(a) 6B(1)(a) Y Allegheny County Court of Common Plea CP-02-CR-0012533-1994 437 Grant Street Pittsburgh PA 15219 CP-02-CR-0012533-1994 04-19-1994 Simple Assault 1 Charge of Assault waswithdrawn N 08-31-1994 Guilty plea of Harassment N 6A(1)(a) 6B(1)(a) Y Allegheny County Court of Common Pleas CP-02-CR-0012533-1994 437 Grant Street Pittsburgh PA 15219 CP-02-CR-0012533-1994 04-21-1994 Harassment 1 Plead guilty to Harassment N 08-31-1994