CW Securities, LLC

Broker-DealerFINRA MemberEst. 2026

Total AUM

$113M

Discretionary

$113M

100% of AUM

Accounts

145

Employees

3

Advisory reps

4

Brokerage reps

3

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

FINTRX

Overview

CW Securities, LLC is an independent broker-dealer organized as an LLC and owned by an individual. The firm is registered with the SEC (registration year listed as 2026) and serves primarily individual and family clients. Its business model combines broker-dealer and insurance-broker activities with advisory services that include financial planning, portfolio management for individuals and small businesses, portfolio management for businesses or institutions, and pension consulting. CW Securities charges clients via a mix of percentage-of-AUM fees, hourly charges, and fixed fees.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities78%
Cash & Cash Equivalents11%
US Government Bonds6%
State & Local Bonds3%
Public Funds/Mutual Funds2%

Contacts

3 of 4

Nancy Harris Coleman
CRD 7027816
Jackie Simpson
Senior PartnerCRD 3081967
Monica Head
Operations ManagerCRD 6691822

Unlock 1 more contacts →

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

Primary office

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

Similar firms

Trustfirst

Knoxville, TN

Home Financial Services, Inc.

Knoxville, TN

Sanford C. Bernstein & Co, LLC

Nashville, TN

AUM $1.2BREPS 821

Silver Oak Securities, Inc.

Jackson, TN

AUM $2.4BTEAM 103REPS 209

Thoroughbred Financial Services, LLC

Brentwood, TN

AUM $4BTEAM 31REPS 44

&Partners

Nashville, TN

AUM $30.3BTEAM 703REPS 597

More Broker-Dealers in Knoxville →All Tennessee Broker-Dealers →