CTEWA

Certified Trust & Estate Wealth Advisor (CTEWA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization WealthCounsel, LLC
Qualification and Training Requirements
Prerequisites

Candidates must:

  • be registered to sell securities, offer investment advice or both;
  • be in good standing with their professional organization's governing body; and
  • be a current member of Advisors Forum by WealthCounsel.
Designation Training Requirements

Training courses available in live webinar and self-study formats
Designation Exam Type

Online, open book final exam
Continuing Education Requirements

12 credit hours every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

2024083413501 Ryan Wesley Davis CRD 5285713 AWC lp (2026-1768177201908).pdf

Davis refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether Davis engaged in an undisclosed private securities transaction. As a result, Davis violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

2020068830202 Kingswood Capital Partners, LLC CRD 288898 AWC lp (2026-1768177201977).pdf

From March 2019 through June 2019, Kingswood failed to reasonably supervise a former registered representative’s recommendations of illiquid alternative investments to three senior customers. Kingswood also failed to establish and maintain written procedures reasonably designed to achieve compliance with suitability requirements with respect to those alternative investments. Kingswood therefore violated FINRA Rules 3110 and 2010. For these violations, Kingswood is censured and fined $150,000.

2024081111301 Michael Cheng Ning CRD 1229733 OHO Decision df (2026-1768177201925).pdf

In his capacity as the designated custodian of records for a former member firm, Michael Cheng Ning failed to respond to requests for documents and information from FINRA staff in violation of FINRA Rules 4570(b), 8210, and 2010. For this misconduct, Respondent is barred from associating with any FINRA member firm in any capacity.

2024083413502 Brian Boyer Davis CRD 6762567 AWC lp (2026-1768177202045).pdf

Davis refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether Davis engaged in an undisclosed private securities transaction. As a result, Davis violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

2020065599103 Christopher Cacace CRD 4308782 OHO Decision df (2026-1768177201835).pdf

Respondent Christopher Cacace is fined $5,000, suspended in all supervisory capacities for 30 business days, and required to requalify as a General Securities Principal for failing to fulfill his supervisory responsibility to reasonably respond to red flags of excessive trading by four registered representatives, in violation of FINRA Rules 3110 and 2010.
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