Courtlandt B. Ault

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CRD#: 1043180

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Courtlandt Bromwell Ault, who also goes by Court Ault, was a registered financial professional .

Courtlandt is a previously registered financial professional and started their career in finance in 1982. Courtlandt had worked at 9 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Court Ault

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 29, 2016 - May 18, 2017

CWA ASSET MANAGEMENT GROUP

RIA

CRD#: 158940

Atlanta, GA

Past

March 20, 2013 - February 22, 2016

SPRUCE INVESTMENT ADVISORS LLC

RIA

CRD#: 122149

STAMFORD, CT

Past

July 24, 2009 - May 13, 2011

GUGGENHEIM INVESTMENT ADVISORS, LLC

RIA

CRD#: 108263

ATLANTA, GA

Past

November 10, 2004 - August 5, 2005

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

PALM BEACH, FL

Past

June 18, 2004 - August 5, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 3, 2003 - August 9, 2004

AT INVESTOR SERVICES, INC.

CRD#: 47837

NEW YORK, NY

Past

November 22, 1991 - June 22, 2001

BESSEMER INVESTOR SERVICES, INC.

CRD#: 17442

NEW YORK, NY

Past

March 31, 1988 - November 7, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 5, 1987 - April 16, 1988

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

April 23, 1982 - February 2, 1987

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CWA ASSET MANAGEMENT GROUP

BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS

CRD#: 158940 / SEC#: 801-79715

RIA

Registered Investment Advisory firm - (5/22/2014 Approved)

Florida

Registered Investment Advisory firm - (5/23/2014 Terminated)

Nebraska

Registered Investment Advisory firm - (5/23/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/23/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/13/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/14/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

Current Firm

CWA ASSET MANAGEMENT GROUP

BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS

CRD#: 158940 / SEC#: 801-79715

RIA

Registered Investment Advisory firm - (5/22/2014 Approved)

Florida

Registered Investment Advisory firm - (5/23/2014 Terminated)

Nebraska

Registered Investment Advisory firm - (5/23/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/23/2014 Terminated)

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Contact information

Main Address

9130 Galleria Court Third Floor, Naples, FL 34109

Mailing Address

Phone number

(239) 434-7434

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWA FORM ADV PART 2A (10/21/2025)

Regulatory assets under management

Total Number of Accounts	4,702
AUM (Assets Under Management)	$ 4,065,327,201

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/05/2025	Cover Page	Report
12/20/2024	Cover Page	Report
10/13/2023	Cover Page	Report
12/09/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Courtlandt B. Ault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPRUCE INVESTMENT ADVISORS LLC

GUGGENHEIM INVESTMENT ADVISORS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

AT INVESTOR SERVICES, INC.

BESSEMER INVESTOR SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

CWA ASSET MANAGEMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/2009

Series 66

Date: 10/13/2004

Series 63

Date: 5/14/1982

Series 7

Date: 4/17/1982

Current Firm

CWA ASSET MANAGEMENT GROUP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CWA ASSET MANAGEMENT GROUP

TRUST BUT VERIFY

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