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CW SECURITIES, LLC

dba CW SECURITIES, LLC · CRD 124496 · Registered Investment Adviser

CW SECURITIES, LLC is a Registered Investment Adviser headquartered in KNOXVILLE, TN. The firm reports $113,478,500 in regulatory assets under management across 145 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$113,478,500
Non-discretionary$0
Total RAUM$113,478,500
Accounts145

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 124496. adviserinfo.sec.gov/firm/summary/124496.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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