0001615340-20-000009.txt : 20201117 0001615340-20-000009.hdr.sgml : 20201117 20201117091801 ACCESSION NUMBER: 0001615340-20-000009 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20201103 DATE AS OF CHANGE: 20201117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: C Financial Investment, Inc. CENTRAL INDEX KEY: 0001615340 IRS NUMBER: 330287382 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00303 FILM NUMBER: 201319385 BUSINESS ADDRESS: STREET 1: 412 HUMBOLDT STREET CITY: SANTA ROSA STATE: CA ZIP: 95404 BUSINESS PHONE: 7075447800 MAIL ADDRESS: STREET 1: 412 HUMBOLDT STREET CITY: SANTA ROSA STATE: CA ZIP: 95404 MA/A 1 primary_doc.xml MA/A 0001615340 XXXXXXXX Kenneth McManus 973-618-9508 kenmcmanus@alternativereg.com chelmer@calschools.com sgald@calschools.com C Financial Investment, Inc. California Financial Services 33-0287382 866-00317-00 867-00303 555 Corporate Drive Ladera Ranch CA 92694 9492821077 9492821070 Delete 412 Humboldt Street Santa Rosa CA 95404 7075447800 7075234082 NewAdd 949-282-1077 949-282-1070 N www.calschools.com Add www.keyanalytics.org Kimberly Marie McManus

101 Eisenhower Parrkway Suite 404 Roseland NJ 07068

973-618-9500 973-618-9501 kmcmanus@alternativereg.com Steven A Gald

555 Corporate Drive Suite 100 Ladera Ranch CA 92694

9492821077 9492821070 sgald@calschools.com Add C Financial Investment, Inc. 555 Corporate Drive, Suite 100 Ladera Ranch CA 92694 9492821077 9492821070 Contracts, Work Product, Due Diligence Information and Billing and Invoicing records NewAdd C Financial Investment, Inc. 949-282-1077 949-282-1070 Client Files December CA 04-28-1988 N 15 1 4 0 0 0 25 Municipal Entities 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice On Selection Y Software and consultants providing services to clients including: Project Revenue and Expenditure Tracking and Reporting Dynamic Cash Flow Planning Strategic Revenue Allocation Consulting Citizen Oversight Committee Support State and IRS Audit Support Records Retention and Retrieval Ongoing Municipal Market Disclosure Services 0 N N N N N N N N N N Y N N N Steven Gald was not identified as an Executive Officer for C Financial Investments, Inc. Mr. Gald is no longer the Chief Compliance Officer (CCO), however he is still employed with C Financial Investments, Inc.. The CCO position has been outsourced. The new CCO is Kimberly McManus, President, Alternative Regulatory Solutions, LLC. There are no other Corporate Executives to add to Schedule C. N N N N N N N N N N N N N N N N N N N N N N N N Y N Michael Wesley Ogburn President 01-07-2020 E Y 000000000 Michael Wesley Ogburn President 01-07-2020 E Y 000000000 NewAdd Kimberly Marie McManus Chief Compliance Officer 10-30-2020 NA N 2322081 Steven Gald Steven Gald Vice President 11-03-2020 N N Y N N Y N Y N Y Y N N N N N N N N N Y