Courtlandt Ault, financial advisor Atlanta GA
44 score

Courtlandt Ault

CRD Number: 1043180
Current Firm: Cwa Asset Management Group

Courtlandt Ault (CRD# 1043180) is an Investment Advisor Representative working at Cwa Asset Management Group in Atlanta, GA and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Cwa Asset Management Group Naples, FL Jan 2016 - Current < 1
Spruce Private Investors LLC Stamford, CT Sep 2011 - Current 5
Guggenheim Investment Advisors, LLC Atlanta, GA Apr 2009 - Jul 2011 2
Unemployed Atlanta, GA Nov 2008 - Apr 2009 < 1
Highgate Investments LLC Atlanta, GA Jul 2005 - Nov 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1982
S65 NASAA Investment Advisors Law Examination Jun 2009
S66 NASAA Uniform Combined State Law Examination Oct 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Employer Dispute
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Courtlandt B. Ault
Phone Number: 239-434-7434
Registered State(s):
  • FL
  • GA
By the Numbers
  • Total Assets Under Management
    442
    MILLIONS
  • Total Number of Accounts
    917
    ACCOUNTS
  • Average Account Value
    $481,928
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

FL, GA, IA, MI, NC, NE, PA, SC, TX

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BADGES
44

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