CW Securities, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
CW Securities, LLC provides continuous investment supervisory services and portfolio management to individuals as well as pension and profit‑sharing plans, trusts, estates, charitable organizations, and corporations. In addition to discretionary management, the firm offers financial planning and consulting services that can address estate planning, retirement planning, insurance and annuity matters.
The firm develops client‑specific investment policies through personal discussions and implements those policies across equities, fixed income and mutual funds using a range of management styles (fixed income, growth and income, growth, and aggressive growth). Accounts are custodied and executed through Charles Schwab and American Funds, advisers select securities and model portfolios based on performance history and manager track records, and accounts are reviewed at least annually.
The firm is under common ownership with a FINRA‑registered broker‑dealer and discloses it may recommend that affiliated broker‑dealer for execution, and firm leadership and associates maintain insurance agent appointments and may implement insurance transactions for separate compensation. Although the brochure describes the adviser as “fee‑only,” it also discloses brokerage affiliations, participation in Schwab and American Funds institutional programs, and other economic benefits — a mix of advisory, broker‑dealer and insurance activities that is less common among supported peers.
Client services
Expertise
Fee options
Financial planning fees range from $2,000 to $5,000, negotiable based on complexity
$25,000 - $249,999: 1.50% $250,000 - $499,999: 1.25% $500,000 - $1,000,000: 1.00% Over $1,000,000+: Negotiable
$150 per hour, negotiable depending on complexity
Account minimum: $25,000 Fee-only: Fee-only, no commissions charged by the advisory firm.
Main office
8870 Cedar Spring Lane, Suite 208
Knoxville TN 37923, United States
Offices (2)
Most active in
Alabama · Florida · Georgia · Maryland · Michigan · North Carolina · Tennessee · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Jackie S
Series 63, Series 65
Knoxville, TN
CW Securities, LLC
Jackie Simpson is a financial advisor at CW Securities, LLC with 24 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at CW Securities since 2004. Outside of his advisory role, he is a partial owner of a tax accounting firm and a business audit company, where he spends the majority of his professional time. CW Securities, LLC provides investment supervisory and portfolio management services to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm offers personalized investment policies and financial planning across various asset classes, with accounts custodied through Charles Schwab and American Funds.
Monica H
Series 63, Series 65
Knoxville, TN
CW Securities, LLC
Monica Head is a financial advisor at CW Securities, LLC with nine years of industry experience. She holds Series 63 and Series 65 licenses and has worked at firms including Purshe Kaplan Sterling Investments, Inc. and Visionary Horizons Wealth Management Group, LLC. Monica is also appointed as an insurance agent with various companies. CW Securities, LLC provides investment supervisory services and portfolio management to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm offers discretionary management along with financial planning and consulting, using client-specific investment policies implemented across equities, fixed income, and mutual funds with multiple management styles.
Michael C
Series 63, Series 66
Naples, FL
CW Securities, LLC
Michael Cox is a financial advisor with CW Securities, LLC in Naples, FL, holding Series 63 and Series 66 credentials and bringing 35 years of industry experience. He has been with CW Securities since 2002 and is also an insurance agent, dedicating a small portion of his time to insurance appointments. Additionally, he operates Capital Wealth Management, LLC as a sole proprietor for expense management unrelated to securities. CW Securities, LLC provides investment supervisory services and portfolio management for individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm combines discretionary management with financial planning and consulting, developing client-specific investment policies implemented across various asset classes and management styles.
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