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Charged with Simple Assault, Charge withdrawn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