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Philip Rees Brody

Cwa Asset Management Group

Naples, FL

Charlotte, NC

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Current Employers
Cwa Asset Management Group

9130 Galleria Court Third Floor, Naples, FL 34109 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-05-22
NC RA APPROVED 2014-04-02
  • TX RA
    APPROVED
    Since 2014-05-22
  • NC RA
    APPROVED
    Since 2014-04-02

Branch Locations

9130 Galleria Court Third Floor, Naples, FL 34109 • United States

4201 Congress Street Suite140, Charlotte, NC 28209 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cwa Asset Management Group Charlotte NC 04/2014 Present
Previous Registrations
  • 2007-01-29 → 2014-04-01
    Byron Financial, Llc
    Charlotte, NC
  • 2006-09-25 → 2007-01-29
    Kestra Investment Services, Llc
    Charlotte, NC
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-22
S63 Uniform Securities Agent State Law Examination 2004-11-30
  • S65 Uniform Investment Adviser Law Examination
    2006-09-22
  • S63 Uniform Securities Agent State Law Examination
    2004-11-30

View on SEC IAPD

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TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
WELLS FARGO CLEARING SERVICES, LLC · NAPLES, FL
J.P. MORGAN SECURITIES LLC · NAPLES, FL
SYNOVUS SECURITIES, INC. · NAPLES, FL
LPL FINANCIAL LLC · NAPLES, FL
CAPITAL WEALTH PLANNING, LLC · NAPLES, FL
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