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 is an independent broker‑dealer organized as an LLC and owned by an individual. The firm provides both brokerage and insurance-broker services while also offering advisory work that includes financial planning, portfolio management for individuals and small businesses, portfolio management for businesses or institutions, and pension consulting services. Its client base is focused on individual and family relationships. Fee arrangements are flexible and include percentage‑of‑AUM billing alongside hourly and fixed‑fee engagements. CW Securities reports SEC registration in 2026 and is not identified as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
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 4NANCY HARRIS COLEMAN
CRD 7027816
JACKIE SIMPSON
Senior PartnerCRD 3081967
Monica Head
Operations ManagerCRD 6691822
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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