PI
Patricia W. Imperial
CWA ASSET MANAGEMENT GROUP
Nashville, TN
Some features on this profile are disabled
CRD#: 4237470
PI
Professional summary
Patricia Willis Imperial, who also goes by Pattie Imperial, Patricia Ann Wilis, is a registered financial advisor currently at CWA ASSET MANAGEMENT GROUP located in Nashville, Tennessee.
Patricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Patricia has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pattie Imperial | Patricia Ann Wilis
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.
1.) CALUSA RIVER- 6/6/2022 - 9130 Galleria Court, 3rd Floor, Naples, FL 34109 - Sales Rep, Sales, Not Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) OwnIT (trade name "duckstore) - 6/7/22 - 5016 Centennial Blvd, Suite 200, Nashville, TN 37209 - Advisory Board Member/Investor in non public company via S.A.F.E Note ($25,000), not inv't related, OwnIt Holdings is a data company bridging the gap between consumer fintech and proptech and building tools that enable consumers to view themselves more like a lender or landlord sees them- Patent Pending technology, Advising on product development and end user services, 1 hr/mo; 1 hr/mo (during trading hours). 3.) Middle Tennessee American Heart Association Gala - 6/6/22 - 1818 Patterson Street, Nashville, TN 37203 - Member of the executive leadership team for the 2024/2025 Heart Gala. 1 hr/mo; 1 hr/mo (during trading hours). 4.) Junior League of Nashville - 6/6/22 - 2022 Crestmoor Road, Nashville, TN 37215 - Sustainer Member- Active member of the Davidson County Sustainer Supper Club. 1 hr/mo; 1 hr/mo (during trading hours). 5.) Co-Owner Imperial Designs, LLC which is a product design firm. Mrs. Willis has a contractual agreement with a manufacturer to license and sell a housewares product that she developed. Mrs. Willis will be paid for the sale of her houseware products once developed and sold. 6). Mrs. Willis is a non-voting Trust Committee Member for a non-public company Paducah Bank and Trust. Mrs. Willis will be paid for this board position.
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Willis Imperial's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 6, 2022 - Present
CWA ASSET MANAGEMENT GROUP
RIA
CRD#: 158940
Nashville, TN
Past
June 7, 2022 - October 13, 2023
THE LEADERS GROUP, INC.
BD
CRD#: 37157
Naples, FL
Past
November 9, 2012 - June 12, 2020
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
NASHVILLE, TN
Past
October 25, 2012 - June 12, 2020
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
NASHVILLE, TN
Past
September 11, 2000 - November 1, 2011
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
DURHAM, NC
Past
September 8, 2000 - November 1, 2011
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
DURHAM, NC
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".
CA
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Tennessee(4/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CA
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
60
SEC notice filing (53 States and Territories)
Documents
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 | ||
| 12/20/2024 | ||
| 10/13/2023 | ||
| 12/09/2022 |
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.
