Comprehensive Wealth Management

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of
Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution
Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives
rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD Number:
4573162
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
LOCKETT, BRIAN, JOSEPH
(For individuals, Last, First, Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for
registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event
occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years
ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the
event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FINANCIAL INDUSTRY REGULATORY AUTHORITY
2.
Principal Sanction:
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
11/12/2019
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2016050847301

5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
GENEOS WEALTH MANAGEMENT INC
6.
Principal Product Type:
Other
Other Product Types: 
UNSPECIFIED SECURITIES
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
WITHOUT ADMITTING OR DENYING THE FINDINGS, LOCKETT CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE PARTICIPATED IN A PRIVATE SECURITIES
TRANSACTION WITHOUT PROVIDING PRIOR WRITTEN NOTICE TO HIS MEMBER FIRM. THE FINDINGS STATED THAT ONE OF LOCKETT'S CUSTOMERS INVESTED A TOTAL OF $50,000
IN A PRIVATE PLACEMENT OFFERING. LOCKETT PARTICIPATED IN THE TRANSACTION BY INTRODUCING THE TRANSACTION TO THE CUSTOMER, SUMMARIZING THE REASONS HE
LIKED THE INVESTMENT, MEETING WITH THE CUSTOMER TO REVIEW AND SIGN THE PAPERWORK AND CAUSING THE PAPERWORK TO BE SUBMITTED. LOCKETT DID NOT RECEIVE
COMPENSATION FOR HIS PARTICIPATION IN THE TRANSACTION. LOCKETT ATTEMPTED TO CONCEAL HIS ROLE IN THE TRANSACTION BY SUGGESTING TO THE CUSTOMER THAT THE
CUSTOMER COMMUNICATE ABOUT THE TRANSACTION WITH LOCKETT IN THE FUTURE VIA LOCKETT'S PERSONAL EMAIL ADDRESS. AFTER THE CUSTOMER COMPLAINED TO THE
FIRM, IT ENTERED INTO A SETTLEMENT TO RESOLVE THE COMPLAINT.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Acceptance, Waiver & Consent(AWC)
11. Resolution Date (MM/DD/YYYY):
11/12/2019
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 5,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal,
etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition
has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an
advisory affiliate, date paid and if any portion of penalty was waived: 
45 DAY SUSPENSION BEGINS ON 12/2/2019 ENDS 1/15/2020. DURING THE SUSPENSION PERIOD LOCKETT MAY NOT BE ASSOCIATED WITH ANY FINRA MEMBER IN ANY
CAPACITY. A FINE OF $5,000 WAS LEVIED AGAINST LOCKETT, LOCKETT AWAITS CONTACT FROM FINRA'S FINANCE DEPARTMENT REGARDING PAYMENT. NO PORTION OF THE
PENALTY WAS WAIVED.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space
provided).
SIX AND A HALF YEARS AGO, I MENTIONED TO A LONGTIME FAMILY FRIEND THAT I WAS MAKING AN INVESTMENT IN A TECHNOLOGY-RELATED COMPANY. I WAS EXCITED ABOUT
THE COMPANY, AND MY FRIEND ASKED ME IF HE COULD PARTICIPATE AS WELL. I SAID YES AND HELPED HIM FILE THE PAPERWORK. I DID NOT RECEIVE ANY COMPENSATION, NOR
DID I THINK I WAS ACTING AS A REPRESENTATIVE OF CWM OR THE BROKER-DEALER.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of
Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)

11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution
Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives
rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD Number:
4573162
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
LOCKETT, BRIAN, JOSEPH
(For individuals, Last, First, Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for
registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event
occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years
ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the
event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
STATE OF CALIFORNIA INSURANCE COMMISSION
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
05/08/2020
 Exact
 Explanation
If not exact, provide explanation:
ORDER NOT FINALIZED UNTIL 5.27.2020
4.
Docket/Case Number:
OBS 3922-A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
COMPREHENSIVE WEALTH MANAGEMENT, LLC
6.
Principal Product Type:
No Product
Other Product Types: 

7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FAILURE TO NOTIFY THE CA DEPARTMENT OF INSURANCE REGARDING A FINRA DISCIPLINARY ACTION IN A TIMELY MANNER.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Stipulation and Consent
11. Resolution Date (MM/DD/YYYY):
05/27/2020
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 850.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal,
etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition
has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an
advisory affiliate, date paid and if any portion of penalty was waived: 
$500 PENALTY, $350 REIMBURSEMENT. THE FINE WAS PAID ON JUNE 22, 2020
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space
provided).
INCORRECTLY ASSUMED THAT UPDATING MY CRD ENTRY WOULD NOTIFY THE INSURANCE COMMISSIONER OF THE STATE OF CALIFORNIA (CA) OF A CHANGE IN BACKGROUND
INFORMATION, WHICH RESULTED IN A SMALL FINE. THE UNDERLYING MATTER DID NOT INVOLVE AN INSURANCE PRODUCT, AND I HAVE NEVER BEEN FOUND BY A REGULATORY
AGENCY, COURT, OR ARBITRATION PANEL TO HAVE VIOLATED ANY INSURANCE REGULATION.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of
Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution
Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives
rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates

If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD Number:
4573162
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
LOCKETT, BRIAN, JOSEPH
(For individuals, Last, First, Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for
registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event
occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years
ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the
event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION
2.
Principal Sanction:
Suspension
Other Sanctions: 
CIVIL AND ADMINISTRATIVE PENALT(IES)/FINE(S)
3.
Date Initiated (MM/DD/YYYY): 
11/10/2020
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
S-202882-20-CO01
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
COMPREHENSIVE WEALTH MANAGEMENT
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
PURSUANT TO THE SECURITIES ACT OF WASHINGTON, RCW 21.20, THE SECURITIES DIVISION OF THE DEPARTMENT OF FINANCIAL INSTITUTIONS (SECURITIES DIVISION) AND
RESPONDENT BRIAN J, LOCKETT DO HEREBY ENTER INTO THIS CONSENT ORDER IN SETTLEMENT OF THE MATTERS ALLEGED HEREIN.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent

11. Resolution Date (MM/DD/YYYY):
11/10/2020
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 5,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
INVESTIGATIVE COSTS $2,550.00
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal,
etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition
has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an
advisory affiliate, date paid and if any portion of penalty was waived: 
MONETARY PENALTY AND INVESTIGATIVE COSTS WERE PAID ON 11/10/2020. THE 45 DAY SUSPENSION WAS SERVED RETROACTIVE 12/2/2019 - 1/15/2020
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space
provided).
AS PREVIOUSLY SHARED IN A DISCLOSURE SIMILAR TO THIS ONE, IN 2019, I REACHED AN AGREEMENT WITH FINRA RELATING TO AN ISSUE THAT TOOK PLACE MORE THAN 8-YEAS
AGO, WHERE I MENTIONED TO A LONG-TIME FAMILY FRIEND THAT I WAS MAKING AN INVESTMENT IN A TECHNOLOGY-RELATED COMPANY. I WAS EXCITED ABOUT THE COMPANY,
AND MY FRIEND ASKED IF HE COULD PARTICIPATE AS WELL. I SAID YES AND HELPED HIM FILE THE PAPERWORK. SEEING THE ACTIONS THAT FINRA TOOK, DFI DECIDED TO
REVIEW THE MATTER AS WELL AND IMPOSED THEIR OWN SANCTION. I DID NOT RECEIVE ANY COMPENSATION, NOR DID I THINK I WAS ACTING AS A REPRESENTATIVE OF CWM OR
THE BROKER-DEALER.