Monica R. Head

CW SECURITIES

Knoxville, TN 37923

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CRD#: 6691822

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monica Ann Floyd | Monica Reeves Johnson | Monica Ann Reeves

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. Insurance Agent-appointed with various companies; approximately One hour/month; compensated from insurance commissions.

Blog Corner

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).

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®

None

Experience

Current

July 16, 2018 - Present

CW SECURITIES, LLC

Office #1: 8870 Cedar Spring Lane Suite 208, Knoxville, TN 37923Office #2: 8870 Cedar Spring Lane Suite 208, Knoxville, TN 37923

RIA

CRD#: 124496

Knoxville, TN

Current

July 12, 2018 - Present

CW SECURITIES, LLC

Office #1: 8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923Office #2: 8870 Cedar Spring Lane Suite 208, Knoxville, TN 37923

RIA

CRD#: 124496

Knoxville, TN

Past

April 27, 2017 - April 2, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

KNOXVILLE, TN

Past

April 4, 2017 - April 2, 2018

VISIONARY HORIZONS, LLC

RIA

CRD#: 150483

KNOXVILLE, TN

Past

October 5, 2016 - March 30, 2017

CW SECURITIES, LLC

RIA

CRD#: 124496

KNOXVILLE, TN

Past

August 19, 2016 - March 30, 2017

CW SECURITIES, LLC

CRD#: 124496

KNOXVILLE, TN

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Tennessee
(7/12/2018)

IAR

Tennessee
(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

State Security Law Exam

IAR

Series 65

Date: 10/5/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/19/2016

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 28

Date: 6/27/2019

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

Current Firm

CW SECURITIES, LLC

CRD#: 124496 / SEC#: , 8-65683

Maryland

Registered Investment Advisory firm - SEC (6/26/2024 Approved)

Tennessee

Registered Investment Advisory firm - SEC (5/28/2010 Approved)

Texas

Registered Investment Advisory firm - SEC (9/30/2022 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923

Mailing Address

8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923

Phone number

(865) 690-9886

Established

Tennessee since 02/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
COX, MICHAEL EDWARD	PRESIDENT/CHIEF COMPLIANCE OFFICER	2129658
COLEMAN, NANCY HARRIS	MINORITY OWNER
HEAD, MONICA REEVES	FINOP	6691822

Regulatory assets under management

Total Number of Accounts	224
AUM (Assets Under Management)	$ 103,539,085

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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Advisor Monitoring

Firm Stability Insights

Monica R. Head

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

CW SECURITIES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

VISIONARY HORIZONS, LLC

CW SECURITIES, LLC

CW SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2016

Series 63

Date: 8/19/2016

SIE

Date: 10/1/2018

Series 6

Date: 8/19/2016

Series 28

Date: 6/27/2019

FINRA

Current Firm

CW SECURITIES, LLC

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CW SECURITIES, LLC

TRUST BUT VERIFY

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