Monica Reeves Head
Professional Summary
Monica Reeves Head, who also goes by Monica Ann Floyd, Monica Reeves Johnson, Monica Ann Reeves, is a registered financial advisor currently at CW SECURITIES, LLC located in Knoxville, Tennessee. Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Monica has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Monica Ann Floyd, Monica Reeves Johnson, Monica Ann Reeves
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
CW SECURITIES, LLC
Contact Information
Main Address
8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923Mailing Address
8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923Phone Number
(865) 690-9886Established
Tennessee since 02/01/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
3SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
FINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
145AUM (Assets Under Management)
$113,478,500Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CW SECURITIES, LLC
State Registrations and Notice Filings
(7/12/2018)
(7/16/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2016About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2019About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Monica Reeves Head's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Monica Reeves Head's CRS (Customer Relationship Summary).
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