Monica Head has been FINOP of CW Securities since August 2019, is a control person of the firm and directly owns under 5% of it.
CW Securities, LLC is a Knoxville, TN firm with $113M under management, 145 clients and 1 adviser in one office, as of its September 2026 filing.
Monica Head’s longest registration is the current one, 8 years at CW Securities since 2018. Before joining CW Securities in 2018, Monica Head was registered through Visionary Horizons, LLC.
- Visionary Horizons, LLC– · under a yearKnoxville, TN · Adviser representative · Firm CRD 150483
Investment adviser representative registrations
Monica Head is registered as an investment adviser representative in Tennessee, since July 2018.
- TennesseeSince 16 July 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 27 June 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 5 October 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 August 2016 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 August 2016 |
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Monica Reeves Head
- CRD
- 6691822
- Firm
- CW Securities · CRD 124496
- Role
- FINOP
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2016
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Monica Head work?
Monica Head has been FINOP of CW Securities, LLC since August 2019, and is a control person of the firm.
Is Monica Head a financial advisor?
Yes. Monica Head has a current investment-adviser registration in Tennessee, through CW Securities since July 2018.
How many years of experience does Monica Head have?
Monica Head has 9 years in the financial industry, since November 2016, across 2 adviser firms.
What exams has Monica Head passed?
Monica Head has passed 4 licensing exams: the Series 63, Series 6, Series 65 and Series 28. The earliest, the Series 63, was passed in August 2016. FINRA credited Monica Head with the SIE, which began in October 2018.
Where did Monica Head work before CW Securities?
Before CW Securities, Monica Head was registered through Visionary Horizons, LLC, April 2017 to April 2018.
Is Monica Head registered with FINRA?
Yes. Monica Head has a current broker registration, under CRD 6691822.
Source: FINRA BrokerCheck
How can I verify Monica Head’s record?
Search CRD 6691822 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Monica Head’s full registration record.