Wesley Alim, financial advisor Charlotte NC
93 score

Wesley Alim

CRD 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 9 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.

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Professional Designations
Company Name Location Dates Years
Cwa Asset Management Group Charlotte, NC May 2016 - Current < 1
Capital Wealth Advisors Charlotte, NC May 2016 - Current < 1
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
Prestige Financial Center, Inc. New York, NY Jun 2007 - Oct 2007 < 1
Publicis Selling Lawrenceville, NJ Mar 2006 - Apr 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2007
S66 NASAA Uniform Combined State Law Examination Nov 2010
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Wesley Alim
Phone Number: 239-434-7434
Registered State(s):
  • NC
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
93

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