CW Securities, LLC
Firm details
- Headquarters
- Knoxville, Tennessee
- CRD number
- 124496
- Registered since
- May 29, 2026
- Custodians
- CHARLES SCHWAB & CO., INC., CAPITAL CLIENT GROUP, INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI94.52%
- Individuals5.48%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting
Firm profile
FINTRXOverview
CW Securities, LLC operates as an independent broker-dealer organized as a limited liability company and is SEC-registered in 2026. The firm is individually owned and targets individual and family clients, combining brokerage and insurance distribution with fee-based advisory work. Service offerings include financial planning, portfolio management for individuals and small businesses, portfolio management for businesses or institutional mandates, and pension consulting. Compensation is mixed: percentage-of-AUM arrangements alongside hourly and fixed-fee engagements. The firm does not position itself as an ESG-focused allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities78%
- Cash & Cash Equivalents11%
- US Government Bonds6%
- State & Local Bonds3%
- Public Funds/Mutual Funds2%
Contacts
3 of 4Monica Head
Operations ManagerCRD 6691822
Jackie Simpson
Senior PartnerCRD 3081967
Michael Cox
PresidentCRD 2129658
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
Knoxville, TN
Knox
Location
Knoxville, TN
Headquartered in Knoxville, TN, anchoring the Knoxville-Morristown-Sevierville, TN metro in the South.
- Metro area
- Knoxville-Morristown-Sevierville, TN
- Region
- South
- County
- Knox
- Address
- 8870 Cedar Springs Ln
- Time zone
- CT (UTC-6)
- Office locations
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