Wesley AlimCRD Number: 5363319
Current Firm: Cwa Asset Management Group
Wesley Alim (CRD# 5363319) is an Investment Advisor Representative working at Cwa Asset Management Group in Charlotte, NC and has over 10 years of experience in the finance industry. Wesley Alim has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Cwa Asset Management Group||Charlotte, NC||May 2016 - Current||2|
|Capital Wealth Advisors||Charlotte, NC||May 2016 - Current||2|
|Wells Fargo Bank Na||New York, NY||Nov 2011 - Apr 2016||4|
|Wells Fargo Advisors LLC||White Plains, NY||Oct 2010 - Apr 2016||5|
|Unemployed||White Plains, NY||May 2010 - Oct 2010||< 1|
|Jp Morgan Chase Bank Na||New York, NY||Apr 2009 - May 2010||1|
|Chase Investment Services Corp||New York, NY||Apr 2009 - May 2010||1|
|Solaris Securities||San Antonio, TX||Oct 2008 - Apr 2009||< 1|
|National Securities Corporation||New York, NY||Apr 2008 - Sep 2008||< 1|
|Joseph Stevens||New York, NY||Oct 2007 - Mar 2008||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2007|
|S66||NASAA Uniform Combined State Law Examination||Nov 2010|
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:
- Customer Dispute
Total Assets Under Management736MILLIONS
Total Number of Accounts1,005ACCOUNTS
Average Account Value$732,260
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
FL, GA, IA, IL, MI, NC, NE, NY, OH, PA, SC, TX
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.