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Michael Cox

Cw Securities, LLC
35 Years of Experience
Knoxville, TN
BrokerSells Insurance
View SEC Summary
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Michael Cox is a registered investment advisor at Cw Securities, LLC, based in Knoxville, TN, with 35 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning. Their firm serves 145 clients with $110M in assets under management.

Cw Securities, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3 advisors
Number of Clients
145 clients
Average Client Portfolio
$783K average
Assets Under Management
$113.5M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.25%
$500K - $1.0M1.00%
$1M+1.00%

Fees for accounts over $1,000,000 are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8870 Cedar Springs Lane, Suite 208, Knoxville, TN, 37923

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Michael is the president of C W Securities, LLC, an investment advisory firm, dedicating most of his time to this role. He is also an insurance agent with various insurance companies, requiring minimal time, and the sole proprietor of Capital Wealth Management, LLC, which is used for expense payments and requires minimal time.

Employment History
Current Registrations
Cw Securities, LLC
June 2010 - Present · 16 yrs 4 mos
Cw Securities, LLCBroker
March 2003 - Present · 23 yrs 7 mos
Previous Registrations
Cw Securities, LLC
June 2010 - November 2011 · 1 yr 5 mos
Landoak Securities, LLCBroker
May 1996 - April 2003 · 6 yrs 11 mos
Equity Services, INC.Broker
April 1993 - May 1996 · 3 yrs 1 mo
Capital Analysts, IncorporatedBroker
March 1991 - April 1993 · 2 yrs 1 mo
State Registrations8 states
ALFLGAMDMINCTNTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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