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Current Employers
Cwa Asset Management Group

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-02-25
  • FL RA
    APPROVED
    Since 2021-02-25

Branch Locations

9130 Galleria Court Third Floor, Naples, FL 34109 • 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
Keel Point Huntsville AL 02/2016 07/2020
Cwa Asset Management Group Naples FL 01/2021 Present
Unemployed Birmingham AL 08/2020 01/2021
Cwa Naples, Llc Naples FL 01/2021 12/2022
The Leaders Group Inc Summit NJ 06/2025 Present
  • 02/2016 → 07/2020
    Keel Point
    Huntsville, AL
  • 01/2021 → Present
    Naples, FL
  • 08/2020 → 01/2021
    Unemployed
    Birmingham, AL
  • 01/2021 → 12/2022
    Cwa Naples, Llc
    Naples, FL
  • 06/2025 → Present
    The Leaders Group Inc
    Summit, NJ
Previous Registrations
  • 2022-01-24 → 2025-03-27
    Cw Institutional, Llc
    Naples, FL
  • 2021-02-24 → 2022-12-31
    Cwa Naples, Llc
    Naples, FL
  • 2016-02-16 → 2020-08-27
    Huntsville, AL
  • 2014-01-21 → 2015-05-15
    Birmingham, AL
Other Businesses

1.) CWA ASSET MANAGEMENT - 1/8/2021 - 9130 Galleria Ct, 3rd Floor, Naples, FL 34109 - Chief Compliance Officer, Compliance duties for RA firm, Invt Rel, IAR business, 40 hrs/mo;40 hrs/mo (during trading hours). 2.) CALUSA RIVER - 1/8/2021 - 9130 Galleria Ct, 3rd Floor, Naples, FL 34109 - Chief Compliance Officer, Compliance duties for insurance side, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 3.) The Leaders Group Inc. - Investment-Related - 475 Springfield Ave., Summit NJ 07901 - Broker-Dealer Firm - Registered Representative - Start Date: 06/24/2025 - 0 hrs/mo; 0 hrs/mo (during trading hours) - No work performed. Registered for administrative licensure purposes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-21
S63 Uniform Securities Agent State Law Examination 2002-03-04
  • S66 Uniform Combined State Law Examination
    2014-01-21
  • S63 Uniform Securities Agent State Law Examination
    2002-03-04
Other Names
  • Kimberly Ruth Fontenot
  • Kimberly Ruth Spoon
  • Kimberly Ruth Hillyer
  • Kimberly R Key

View on SEC IAPD

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